Ethics & Professional Conduct
Seven Mandatory Principles
The SRA imposes 7 mandatory principles outlining how solicitors should act:
1. In a way that upholds the rule of law and proper administration of justice.
2. In a way that upholds public trust and confidence in the solicitor's profession and legal
services.
3. With independence.
4. With honesty.
5. With integrity.
6. In a way that encourages equality, diversity and inclusion.
7. In the best interests of each client.
Where 2 or more principles come into conflict, the one that safeguards the wider public interest
takes precedence.
Maintaining Trust
Cannot unfairly discriminate by allowing personal views to influence professional
relationships.
Firms must monitor, report and publish workforce diversity data.
Reasonable adjustments must be made for disabled clients and employees and cannot pass
the costs of adjustment onto them.
Cannot take advantage or mislead others.
All undertakings given must be performed within the agreed timescale. If there is no agreed
timescale it must be done within a reasonable amount of time. Any employee can give an
undertaking.
Solicitors are personally bound to comply with all undertakings and they can be enforced by
the court.
Best practise is to have them in writing; specific; measurable; agreed; realistic and timed.
Dispute Resolution
Cannot misuse or tamper with evidence nor influence the substance of evidence.
Cannot provide or offer to provide any benefit to a witness if the benefit is dependant upon
the nature of the evidence or the outcome of the case.
, Cannot waste court time. All court statements must be properly arguable.
Must comply with all court orders and cannot be in contempt of court.
Only draw the courts attention to relevant information likely to have a material effect on
proceedings.
Service and Competence
Can only act for a client on instructions from that client or someone authorised to instruct on
the client's behalf.
If there is reason to suspect the authorised persons instructions do not represent the client's
wishes, don't act unless you are satisfied of the client's wishes. Best practice is to check with
the client directly.
Service must be competent and timely and adapted to each individual client.
Management Responsibilities
Supervision
Supervisors will remain accountable for work carried out by underlings.
Firms must have an effective supervision system in place.
Training and Guidance
Must be adequate to ensure staff are competent.
Ensure professional knowledge and understandings are kept up to date.
Client Money and Assets
Must safeguard all client assets.
Cannot personally hold client money unless it relates to advance payment of fees and
expenses and you inform the client in advance of where and how it will be held.
Business Requirements
Clients must be informed of any financial or other interest you gain in referring them to
another person.
All fee sharing arrangements must be in writing and disclosed to the relevant client.
Cannot make or receive payments relating to a referral or introducer in respect of clients
involved in criminal proceedings.
Prohibited referral fees are not allowed and compliance must be demonstrated.
Seven Mandatory Principles
The SRA imposes 7 mandatory principles outlining how solicitors should act:
1. In a way that upholds the rule of law and proper administration of justice.
2. In a way that upholds public trust and confidence in the solicitor's profession and legal
services.
3. With independence.
4. With honesty.
5. With integrity.
6. In a way that encourages equality, diversity and inclusion.
7. In the best interests of each client.
Where 2 or more principles come into conflict, the one that safeguards the wider public interest
takes precedence.
Maintaining Trust
Cannot unfairly discriminate by allowing personal views to influence professional
relationships.
Firms must monitor, report and publish workforce diversity data.
Reasonable adjustments must be made for disabled clients and employees and cannot pass
the costs of adjustment onto them.
Cannot take advantage or mislead others.
All undertakings given must be performed within the agreed timescale. If there is no agreed
timescale it must be done within a reasonable amount of time. Any employee can give an
undertaking.
Solicitors are personally bound to comply with all undertakings and they can be enforced by
the court.
Best practise is to have them in writing; specific; measurable; agreed; realistic and timed.
Dispute Resolution
Cannot misuse or tamper with evidence nor influence the substance of evidence.
Cannot provide or offer to provide any benefit to a witness if the benefit is dependant upon
the nature of the evidence or the outcome of the case.
, Cannot waste court time. All court statements must be properly arguable.
Must comply with all court orders and cannot be in contempt of court.
Only draw the courts attention to relevant information likely to have a material effect on
proceedings.
Service and Competence
Can only act for a client on instructions from that client or someone authorised to instruct on
the client's behalf.
If there is reason to suspect the authorised persons instructions do not represent the client's
wishes, don't act unless you are satisfied of the client's wishes. Best practice is to check with
the client directly.
Service must be competent and timely and adapted to each individual client.
Management Responsibilities
Supervision
Supervisors will remain accountable for work carried out by underlings.
Firms must have an effective supervision system in place.
Training and Guidance
Must be adequate to ensure staff are competent.
Ensure professional knowledge and understandings are kept up to date.
Client Money and Assets
Must safeguard all client assets.
Cannot personally hold client money unless it relates to advance payment of fees and
expenses and you inform the client in advance of where and how it will be held.
Business Requirements
Clients must be informed of any financial or other interest you gain in referring them to
another person.
All fee sharing arrangements must be in writing and disclosed to the relevant client.
Cannot make or receive payments relating to a referral or introducer in respect of clients
involved in criminal proceedings.
Prohibited referral fees are not allowed and compliance must be demonstrated.
