Professional Conduct
Regulatory and Legal Environment
Regulators
Bodies that regulate the Legal Services Board regulates all lawyers in England and
legal profession Wales.
Solicitors Regulation Authority (‘SRA’) regulates solicitors,
law firms and individuals who work for businesses authorised by
the SRA.
Bar Standards Board regulates barristers.
Chartered Institute of Legal Executives (‘CILEx’) regulates
legal executives.
Council for Licensed Conveyancers regulates licensed
conveyancers.
Costs Lawyers Standards Board regulates costs lawyers
To whom can a client Law Firm - The SRA requires that every law firm has a
complain? complaints procedure. If a client is unhappy with the service, the
client’s first step is to follow the law firm’s complaints procedure.
Legal Ombudsman (‘LO’) - If the firm’s internal complaints
procedure is exhausted, individuals, small businesses, charities,
clubs and trusts can refer complaints about poor service and
fees/bills from solicitors to the LO. The LO can require the
solicitor to:
• apologise;
• pay compensation;
• correct or put right an error or omission;
• take specific action in the interests of the complainant;
• pay for the costs of the complaint;
• limit the firm’s fees.
Crucially the LO has no powers to discipline or fine a lawyer; the
LO’s primary function is to resolve complaints.
SRA - The SRA sets the principles and code of conduct that
solicitors and lawyers regulated by the SRA must comply with. If
the client has a complaint that is concerning misconduct,
dishonesty or breaches of the SRA’s rules, they can complain to
the SRA. The SRA has the power to:
• issue a warning to the firm;
• impose a disciplinary sanction, eg a fine;
• reprimand the solicitor for professional misconduct;
• order the solicitor to repay or refund the whole or part of
the costs to the client;
• impose restrictions on a lawyer’s ability to practise;
• institute disciplinary proceedings before the Solicitor’s
Disciplinary Tribunal;
• revoke recognition of a firm; and
• close down a firm.
Solicitors Disciplinary Tribunal (‘SDT’) - The SDT is an
independent statutory body. It deals with serious breaches of the
SRA’s rules and disciplines solicitors. Its powers include power
to:
• strike a solicitor off the roll;
• suspend a solicitor from practice for a fixed or indefinite
period;
, • reprimand a solicitor;
• impose a fine;
• award costs against a party to proceedings; and
• make a restriction order, imposing a restriction on the
area in which a solicitor can practice.
The SDT does not have power to award compensation.
Ultimately the only option left if the client is not happy would be
court action.
The Law Society
• Represents solicitors in England and Wales to the public.
• Supports solicitors in their careers and practice.
• Is there to fight your corner.
SRA Standards and Regulations 2019
Key documents The SRA Principles; the CCS (Code of Conduct for Solicitors); CCF
(Code for Firms); and the SRA Accounts Rules.
Principles 1. Act in a way that upholds rule of law and proper administration of
justice
2. Act in a way that upholds trust and confidence in the solicitors’
profession and in legal services provided by an authorised
person
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
Conflicting principles When an SRA principle conflicts one another, the one that safeguards
the wider public interest takes priority over the individual interest of a
client.
Maintaining trust and CCS 1.1 'You do not unfairly discriminate by allowing your
fairness principles personal views to affect your professional relationships and the
way in which you provide your services.'
CCS 1.2 'You do not abuse your position by taking unfair
advantage of clients or others.'
CCS 1.4 'You do not mislead or attempt to mislead your
clients, the court or others, either by your own acts or
omissions or allowing or being complicit in the acts or omissions
of others (including your client).'
CCS Sets out standards expected from individuals authorised by the
SRA to provide legal services
Sets out framework for ethical and competent practice
Does not need to be in your workplace in order to relate to your
practice
You are personally responsible for compliance with the CCS;
non-compliance means SRA could take regulatory action against
you
CCF Contains everything in the CCS but has additional standards about the
way firms should be run regarding systems of controls; responsibilities of
managers; and the requirement to have a COLP (Compliance Office for
legal Practice) and COFA (Compliance Office for Finance and
Administration).
, Non-compliance allows SRA to take regulatory action against firm itself,
managers or compliance officers
CCS and CCF Requirements to ensure that legal professionals take steps to address
Requirements risks include:
To keep client money safe
Not to take unfair advantage of clients
To ensure solicitors’ instructions reflect client’s wishes
To address equality, diversity and inclusion
To provide clear information the client can understand about the
service they will receive and how much it will cost
Keeping knowledge up to There is also a requirement to ensure you keep your knowledge up to
date date. Individuals must:
Ensure the service you provide to clients is competent and
delivered in a timely manner
Maintain competence to carry out role and keep professional
knowledge and skills up to date
Keep up to date with the law and regulation governing the way
you work
Firms must ensure that managers and employees are competent to carry
out their role, keep professional knowledge, skills, legal, ethical and
regulatory obligations up to date.
Supervising Client Ensuring proper supervision is very important in ensuring clients are
Matters provided with a good standard of service.
Where you supervise/manage others providing legal services:
You remain accountable for work carried out through them and
you effectively supervise work being done for clients
You ensure individuals managed are competent to carry out role
and keep professional knowledge and skills, as well as
understanding of legal, ethical and regulatory obligations, up to
date
You have an effective system for supervising clients’ matters
Duty of confidentiality Must keep client information confidential unless required or permitted
by law. Duty survives the client’s death and applies to current and former
clients.
Data Protection Act 2018 The DPA classifies ‘personal data’ which need not be strictly ‘private’ to
require protection unless that information is anonymous.
The key data protection principles:
o Data must be used fairly, lawfully and transparently.
o Used for explicit purposes.
o Used in a way that is adequate and limited to the purpose
which it was collected for.
o It should be accurate and kept up to date when necessary.
o Must be kept for no longer than necessary.
o Must be handled in a secure way and protected against
unauthorised processing, access, loss, destruction or damage.
Duty of disclosure A solicitor must make a client aware of all informational material to the
matter they have knowledge of. There are limited exceptions à if you
believe that disclosure would cause serious physical/mental harm to your
client or another, disclosure is prohibited. The information must also be
disclosed in an understandable manner (especially for lay clients).
Regulatory and Legal Environment
Regulators
Bodies that regulate the Legal Services Board regulates all lawyers in England and
legal profession Wales.
Solicitors Regulation Authority (‘SRA’) regulates solicitors,
law firms and individuals who work for businesses authorised by
the SRA.
Bar Standards Board regulates barristers.
Chartered Institute of Legal Executives (‘CILEx’) regulates
legal executives.
Council for Licensed Conveyancers regulates licensed
conveyancers.
Costs Lawyers Standards Board regulates costs lawyers
To whom can a client Law Firm - The SRA requires that every law firm has a
complain? complaints procedure. If a client is unhappy with the service, the
client’s first step is to follow the law firm’s complaints procedure.
Legal Ombudsman (‘LO’) - If the firm’s internal complaints
procedure is exhausted, individuals, small businesses, charities,
clubs and trusts can refer complaints about poor service and
fees/bills from solicitors to the LO. The LO can require the
solicitor to:
• apologise;
• pay compensation;
• correct or put right an error or omission;
• take specific action in the interests of the complainant;
• pay for the costs of the complaint;
• limit the firm’s fees.
Crucially the LO has no powers to discipline or fine a lawyer; the
LO’s primary function is to resolve complaints.
SRA - The SRA sets the principles and code of conduct that
solicitors and lawyers regulated by the SRA must comply with. If
the client has a complaint that is concerning misconduct,
dishonesty or breaches of the SRA’s rules, they can complain to
the SRA. The SRA has the power to:
• issue a warning to the firm;
• impose a disciplinary sanction, eg a fine;
• reprimand the solicitor for professional misconduct;
• order the solicitor to repay or refund the whole or part of
the costs to the client;
• impose restrictions on a lawyer’s ability to practise;
• institute disciplinary proceedings before the Solicitor’s
Disciplinary Tribunal;
• revoke recognition of a firm; and
• close down a firm.
Solicitors Disciplinary Tribunal (‘SDT’) - The SDT is an
independent statutory body. It deals with serious breaches of the
SRA’s rules and disciplines solicitors. Its powers include power
to:
• strike a solicitor off the roll;
• suspend a solicitor from practice for a fixed or indefinite
period;
, • reprimand a solicitor;
• impose a fine;
• award costs against a party to proceedings; and
• make a restriction order, imposing a restriction on the
area in which a solicitor can practice.
The SDT does not have power to award compensation.
Ultimately the only option left if the client is not happy would be
court action.
The Law Society
• Represents solicitors in England and Wales to the public.
• Supports solicitors in their careers and practice.
• Is there to fight your corner.
SRA Standards and Regulations 2019
Key documents The SRA Principles; the CCS (Code of Conduct for Solicitors); CCF
(Code for Firms); and the SRA Accounts Rules.
Principles 1. Act in a way that upholds rule of law and proper administration of
justice
2. Act in a way that upholds trust and confidence in the solicitors’
profession and in legal services provided by an authorised
person
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
Conflicting principles When an SRA principle conflicts one another, the one that safeguards
the wider public interest takes priority over the individual interest of a
client.
Maintaining trust and CCS 1.1 'You do not unfairly discriminate by allowing your
fairness principles personal views to affect your professional relationships and the
way in which you provide your services.'
CCS 1.2 'You do not abuse your position by taking unfair
advantage of clients or others.'
CCS 1.4 'You do not mislead or attempt to mislead your
clients, the court or others, either by your own acts or
omissions or allowing or being complicit in the acts or omissions
of others (including your client).'
CCS Sets out standards expected from individuals authorised by the
SRA to provide legal services
Sets out framework for ethical and competent practice
Does not need to be in your workplace in order to relate to your
practice
You are personally responsible for compliance with the CCS;
non-compliance means SRA could take regulatory action against
you
CCF Contains everything in the CCS but has additional standards about the
way firms should be run regarding systems of controls; responsibilities of
managers; and the requirement to have a COLP (Compliance Office for
legal Practice) and COFA (Compliance Office for Finance and
Administration).
, Non-compliance allows SRA to take regulatory action against firm itself,
managers or compliance officers
CCS and CCF Requirements to ensure that legal professionals take steps to address
Requirements risks include:
To keep client money safe
Not to take unfair advantage of clients
To ensure solicitors’ instructions reflect client’s wishes
To address equality, diversity and inclusion
To provide clear information the client can understand about the
service they will receive and how much it will cost
Keeping knowledge up to There is also a requirement to ensure you keep your knowledge up to
date date. Individuals must:
Ensure the service you provide to clients is competent and
delivered in a timely manner
Maintain competence to carry out role and keep professional
knowledge and skills up to date
Keep up to date with the law and regulation governing the way
you work
Firms must ensure that managers and employees are competent to carry
out their role, keep professional knowledge, skills, legal, ethical and
regulatory obligations up to date.
Supervising Client Ensuring proper supervision is very important in ensuring clients are
Matters provided with a good standard of service.
Where you supervise/manage others providing legal services:
You remain accountable for work carried out through them and
you effectively supervise work being done for clients
You ensure individuals managed are competent to carry out role
and keep professional knowledge and skills, as well as
understanding of legal, ethical and regulatory obligations, up to
date
You have an effective system for supervising clients’ matters
Duty of confidentiality Must keep client information confidential unless required or permitted
by law. Duty survives the client’s death and applies to current and former
clients.
Data Protection Act 2018 The DPA classifies ‘personal data’ which need not be strictly ‘private’ to
require protection unless that information is anonymous.
The key data protection principles:
o Data must be used fairly, lawfully and transparently.
o Used for explicit purposes.
o Used in a way that is adequate and limited to the purpose
which it was collected for.
o It should be accurate and kept up to date when necessary.
o Must be kept for no longer than necessary.
o Must be handled in a secure way and protected against
unauthorised processing, access, loss, destruction or damage.
Duty of disclosure A solicitor must make a client aware of all informational material to the
matter they have knowledge of. There are limited exceptions à if you
believe that disclosure would cause serious physical/mental harm to your
client or another, disclosure is prohibited. The information must also be
disclosed in an understandable manner (especially for lay clients).
