Professional Conduct & Regulation Notes
The Principles:
You act:
1. in a way that upholds the constitutional principle of the rule of law, and the proper administration of justice;
2. in a way that upholds public trust and confidence in the solicitors’ profession and in legal services provided by
authorised persons;
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.
What does ‘you’ mean in CCS?
In CCS 6.1 and 6.2 it states “you do not act ...” if there is an own interest conflict or a conflict of interest involving a client
or a significant risk of either. This raises the question “to whom does ‘you’ actually refer?” In this part of the Codes i.e.
CCS, the reference to “you” is to solicitors, RELs (registered European lawyers) and RFLs (registered foreign lawyers) i.e.
Authorised Individuals as defined above.
What does ‘you’ mean in CCF?
In CCF 6.1 and 6.2 it states “you do not act ...” if there is an own interest conflict or a conflict of interest involving a client
or a significant risk of either. This raises the question “to whom does ‘you’ actually refer?” In this part of the Codes i.e.
CCF, the reference to “you” is to the firm authorised by the SRA to provide legal services.
Who is the ‘client’ for the purposes of the Codes?
For the purpose of the Codes, the Glossary defines ‘client’ as the person for whom you act, and where the context
permits includes prospective and former clients. ‘Person’ includes a body of persons (corporate and unincorporated)
Nirali Kothari 1
, Client Care
Before accepting instructions: identifying your client Under CCS 8.1 (which is applicable in the same way to Firms by
virtue of paragraph CCF 7.1(c)), you must identify who you are acting for in any particular matter. You must also comply
with the law and the Codes when deciding whether or not to act for a potential client. This includes checking whether
the Money Laundering Regulations 2017 (‘MLR’) apply when taking on a new client, and if they do apply, complying with
them. This requires you to verify your client’s identity
Accepting instructions You are generally free to decide whether or not to take on a particular client, provided you do not
unlawfully discriminate: see paragraph 1.1 of each of the Codes. There are a number of situations where (and this list is
not exhaustive) an Authorised Individual or a Firm must not accept instructions: When acting would involve you in a
breach of the law or a breach of CCS or CCF: For example: - where there is a conflict of interests between you and a
client, or two or more clients (see the Codes 6.1, 6.2 and 6.5, and paragraph 5 below); - where money laundering is
suspected (see PCR Lecture 1).
Client Care Letters
Which principle of the Code does a client care letter best help to satisfy?
Principle 2 – acting in a way that upholds public trust and confidence in the solicitors’ profession and in legal services
provided by Authorised Persons
there are some things that the Codes require you to communicate to clients in writing from the outset of the retainer,
such as the right to make a complaint (see CCS 8, which applies in its entirety to Firms pursuant to CCF 7.1(c)).
Do you explain what is going to happen?
Do you include how much the work is going to cost?
Do you explain when things are going to happen?
Do you explain what the client needs to do?
Do you include contact details?
Does your letter show a clear purpose?
Is your letter concise?
Do you use plain English?
Do you prioritise information?
Do you personalise information?
Is your client care letter easy to read?
Do you highlight key information?
Have you considered the needs of vulnerable clients?
Service and competence in client care letters
You only act for clients on instructions from the client, or from someone properly authorised to provide instructions on
their behalf. If you have reason to suspect that the instructions do not represent your client’s wishes, you do not act
unless you have satisfied yourself that they do. This is subject to the overriding obligation to protect your client’s best
interests in circumstances where you have legal authority to act notwithstanding that it is not possible to obtain or
ascertain the instructions of your client (CCS 3.1 and CCF 4.1);
you ensure that the service you provide to clients is competent and delivered in a timely manner (CCS 3.2 and CCF 4.2);
you maintain your competence to carry out your role and keep your professional knowledge up to date (CCS 3.3);
you ensure that your managers and employees are competent to carry out their role, and keep their professional
knowledge and skills, as well as understanding of their legal, ethical and regulatory obligations, up to date (CCF 4.3);
you have an effective system for supervising clients’ matters (CCF 4.4);
you consider and take account of your client’s attributes, needs and circumstances (CCS 3.4 and CCF 4.2);
Nirali Kothari 2
The Principles:
You act:
1. in a way that upholds the constitutional principle of the rule of law, and the proper administration of justice;
2. in a way that upholds public trust and confidence in the solicitors’ profession and in legal services provided by
authorised persons;
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.
What does ‘you’ mean in CCS?
In CCS 6.1 and 6.2 it states “you do not act ...” if there is an own interest conflict or a conflict of interest involving a client
or a significant risk of either. This raises the question “to whom does ‘you’ actually refer?” In this part of the Codes i.e.
CCS, the reference to “you” is to solicitors, RELs (registered European lawyers) and RFLs (registered foreign lawyers) i.e.
Authorised Individuals as defined above.
What does ‘you’ mean in CCF?
In CCF 6.1 and 6.2 it states “you do not act ...” if there is an own interest conflict or a conflict of interest involving a client
or a significant risk of either. This raises the question “to whom does ‘you’ actually refer?” In this part of the Codes i.e.
CCF, the reference to “you” is to the firm authorised by the SRA to provide legal services.
Who is the ‘client’ for the purposes of the Codes?
For the purpose of the Codes, the Glossary defines ‘client’ as the person for whom you act, and where the context
permits includes prospective and former clients. ‘Person’ includes a body of persons (corporate and unincorporated)
Nirali Kothari 1
, Client Care
Before accepting instructions: identifying your client Under CCS 8.1 (which is applicable in the same way to Firms by
virtue of paragraph CCF 7.1(c)), you must identify who you are acting for in any particular matter. You must also comply
with the law and the Codes when deciding whether or not to act for a potential client. This includes checking whether
the Money Laundering Regulations 2017 (‘MLR’) apply when taking on a new client, and if they do apply, complying with
them. This requires you to verify your client’s identity
Accepting instructions You are generally free to decide whether or not to take on a particular client, provided you do not
unlawfully discriminate: see paragraph 1.1 of each of the Codes. There are a number of situations where (and this list is
not exhaustive) an Authorised Individual or a Firm must not accept instructions: When acting would involve you in a
breach of the law or a breach of CCS or CCF: For example: - where there is a conflict of interests between you and a
client, or two or more clients (see the Codes 6.1, 6.2 and 6.5, and paragraph 5 below); - where money laundering is
suspected (see PCR Lecture 1).
Client Care Letters
Which principle of the Code does a client care letter best help to satisfy?
Principle 2 – acting in a way that upholds public trust and confidence in the solicitors’ profession and in legal services
provided by Authorised Persons
there are some things that the Codes require you to communicate to clients in writing from the outset of the retainer,
such as the right to make a complaint (see CCS 8, which applies in its entirety to Firms pursuant to CCF 7.1(c)).
Do you explain what is going to happen?
Do you include how much the work is going to cost?
Do you explain when things are going to happen?
Do you explain what the client needs to do?
Do you include contact details?
Does your letter show a clear purpose?
Is your letter concise?
Do you use plain English?
Do you prioritise information?
Do you personalise information?
Is your client care letter easy to read?
Do you highlight key information?
Have you considered the needs of vulnerable clients?
Service and competence in client care letters
You only act for clients on instructions from the client, or from someone properly authorised to provide instructions on
their behalf. If you have reason to suspect that the instructions do not represent your client’s wishes, you do not act
unless you have satisfied yourself that they do. This is subject to the overriding obligation to protect your client’s best
interests in circumstances where you have legal authority to act notwithstanding that it is not possible to obtain or
ascertain the instructions of your client (CCS 3.1 and CCF 4.1);
you ensure that the service you provide to clients is competent and delivered in a timely manner (CCS 3.2 and CCF 4.2);
you maintain your competence to carry out your role and keep your professional knowledge up to date (CCS 3.3);
you ensure that your managers and employees are competent to carry out their role, and keep their professional
knowledge and skills, as well as understanding of their legal, ethical and regulatory obligations, up to date (CCF 4.3);
you have an effective system for supervising clients’ matters (CCF 4.4);
you consider and take account of your client’s attributes, needs and circumstances (CCS 3.4 and CCF 4.2);
Nirali Kothari 2
