Professional Conduct
Principles
1. Uphold the rule of law and the proper administration of justice
2. Act with integrity
3. Not allow your independence to be compromised
4. Act in the best interests of each client
5. Provide a proper standard of service to your clients
6. Behave in a way that maintains the trust the public places in you and the provision of legal
services
7. Comply with your legal and regulatory obligations and deal with your regulators and
ombudsmen in an open, timely and co-operative manner
8. Run your business or carry out your role in the business effectively and in accordance with
proper governance and sound financial and risk management principles
9. Run your business or carry out your role in the business in a way that encourages equality of
opportunity and respect for diversity
10. Protect client money and assets
Outcomes
These identify what legal practitioners are expected to achieve. Like the
principles, they are mandatory
Indicative behaviours
These are examples of the kind of behaviour that would indicate either
compliance or contravention of the Code. They are not mandatory
, Chapter 1: Providing a proper standard of client care:
Client Care O1.1: You must treat your clients fairly
O1.2: The services offered must protect the client’s interests in
their matter
O1.5: Services must be competent, delivered in a timely manner,
and take account of a client’s needs and circumstances
O1.7: Clients should be told how the service is regulated (e.g. by
the SRA)
Clients must be able to make informed decisions
O1.12: You must ensure clients are in a position to make
informed decisions about the services they need, how their
matter will be handled and the options available to them
IB1.1: You should agree an appropriate level of service with his
clients e.g. type and frequency of communication
IB1.2: You should explain to a client their responsibilities e.g. to
provide you with up-to-date information to enable you to
provide a proper standard of service
Personnel
IB1.3: A client should be told, in writing the name and status of
the person dealing with the matter, and the name of the person
responsible for the supervision
IB1.5: Explain any limitations or conditions on what you can do
for the client
Costs and Fee arrangements
O1.6: You may only enter into fee agreements which are legal,
suit the client’s needs and take into account of the client’s best
interests
O1.13: Clients must receive the “best possible information” both
at the time of engagement and when appropriate as their
matter progresses about the likely overall cost of their matter i.e.
insufficient to provide the client just with details of the solicitor’s
hourly rate
IB1.13: You should discuss whether the potential outcome of the
client’s matter are likely to justify the expense or risk
IB1.14: You should clearly explain your fees and if and when they
are likely to change
IB1.15: You should warn clients as to any payments for which
they may be responsible
IB1.16: You should discuss how the client will pay including the
availability of public funding, insurance and trade union funding
IB1.17: You should give your client all relevant information
relating to any fee arrangement e.g. CFA
IB1.19: You should provide the information in a clear and
accessible form which is appropriate to the needs and
circumstances of the client
IB1.21: You should ensure disbursements included in your bill
reflect the actual amount spent / to be spent
Receiving financial benefits
Principles
1. Uphold the rule of law and the proper administration of justice
2. Act with integrity
3. Not allow your independence to be compromised
4. Act in the best interests of each client
5. Provide a proper standard of service to your clients
6. Behave in a way that maintains the trust the public places in you and the provision of legal
services
7. Comply with your legal and regulatory obligations and deal with your regulators and
ombudsmen in an open, timely and co-operative manner
8. Run your business or carry out your role in the business effectively and in accordance with
proper governance and sound financial and risk management principles
9. Run your business or carry out your role in the business in a way that encourages equality of
opportunity and respect for diversity
10. Protect client money and assets
Outcomes
These identify what legal practitioners are expected to achieve. Like the
principles, they are mandatory
Indicative behaviours
These are examples of the kind of behaviour that would indicate either
compliance or contravention of the Code. They are not mandatory
, Chapter 1: Providing a proper standard of client care:
Client Care O1.1: You must treat your clients fairly
O1.2: The services offered must protect the client’s interests in
their matter
O1.5: Services must be competent, delivered in a timely manner,
and take account of a client’s needs and circumstances
O1.7: Clients should be told how the service is regulated (e.g. by
the SRA)
Clients must be able to make informed decisions
O1.12: You must ensure clients are in a position to make
informed decisions about the services they need, how their
matter will be handled and the options available to them
IB1.1: You should agree an appropriate level of service with his
clients e.g. type and frequency of communication
IB1.2: You should explain to a client their responsibilities e.g. to
provide you with up-to-date information to enable you to
provide a proper standard of service
Personnel
IB1.3: A client should be told, in writing the name and status of
the person dealing with the matter, and the name of the person
responsible for the supervision
IB1.5: Explain any limitations or conditions on what you can do
for the client
Costs and Fee arrangements
O1.6: You may only enter into fee agreements which are legal,
suit the client’s needs and take into account of the client’s best
interests
O1.13: Clients must receive the “best possible information” both
at the time of engagement and when appropriate as their
matter progresses about the likely overall cost of their matter i.e.
insufficient to provide the client just with details of the solicitor’s
hourly rate
IB1.13: You should discuss whether the potential outcome of the
client’s matter are likely to justify the expense or risk
IB1.14: You should clearly explain your fees and if and when they
are likely to change
IB1.15: You should warn clients as to any payments for which
they may be responsible
IB1.16: You should discuss how the client will pay including the
availability of public funding, insurance and trade union funding
IB1.17: You should give your client all relevant information
relating to any fee arrangement e.g. CFA
IB1.19: You should provide the information in a clear and
accessible form which is appropriate to the needs and
circumstances of the client
IB1.21: You should ensure disbursements included in your bill
reflect the actual amount spent / to be spent
Receiving financial benefits
