Professional Conduct and Regulation
The legal profession and regulating the profession
LEGAL PROFESSION
Professional Professional conduct is the term that is used to describe the rules,
conduct regulations and requirements with which a solicitor must comply.
Solicitors are in a position of trust, and so a higher standard of
behaviour is expected of them than of members of the public.
Solicitors The SRA regulates solicitors in England and Wales. It also controls
Regulation such matters as training and entry into the profession.
Authority
The Law The Law Society is the representative body for solicitors in England
Society and Wales. Membership is voluntary, but all solicitors (and those
employed by them) are bound by the requirements of professional
conduct whether or not they are members of The Law Society.
REGULATING THE LEGAL PROFESSION
SRA The SRA publishes and enforces rules and requirements concerning
how solicitors, authorised bodies and their employees behave and
conduct their business. The subject matter of this Part is the SRA
Handbook which sets out the standards and requirements which apply
to everyone regulated by the SRA – Principles/ Codes are within the
Handbook
Complaints Ever firm must have a complaints handling procedure, and must
against ensure that complaints are dealt with promptly, fairly, openly and
solicitors effectively (Para 8.5). If the firm cannot resolve a complaint, the
client must be given details of the Legal Ombudsman (Para 8.4).
Legal The Legal Ombudsman is the sole point of receipt for complaints
Ombudsman concerning services provided by solicitors and other types of legal
practitioner, and refers any allegations of breaches of the
requirements of professional conduct concerning solicitors to the
SRA.
Lawyer must have 8 weeks to deal with the complaint before going
to the Legal Ombudsman.
Can only deal with complaints that have happened since 6th October
2010
Powers of the Where the Legal Ombudsman makes a determination following a
Legal complaint, it has the power to order the firm of solicitors to limit its
Ombudsman fees, or to direct that the firm must compensate the client up to the
sum of £50,000 (plus interest) amongst other sanctions. The Legal
Ombudsman cannot pay compensation to a client itself.
Powers of the Where a finding of professional misconduct is made, the SRA may
SRA – discipline the firm or regulated individual by imposing disciplinary
professional sanctions, or referring the matter to the Solicitors Disciplinary
misconduct Tribunal. The SRA may also revoke or suspend authorisation of the
firm.
, Solicitors The Solicitors Disciplinary Tribunal hears and determines
Disciplinary applications relating to allegations of professional misconduct. It is
Tribunal independent of the SRA and The Law Society. It has the power to
suspend a solicitor, to fine a solicitor an unlimited amount and, in the
most extreme cases, to strike a solicitor off the roll – which will
effectively end his career.
Negligence In addition to or instead of the actions that the SRA may take against a
solicitor, a solicitor may be sued by his client in the tort of
negligence. A solicitor owes his client a duty of care, where this duty
is breached, and the client suffers a foreseeable loss as a result of that
breach, the solicitor may be sued for negligence. Firms must carry
compulsory indemnity insurance against such actions.
The SRA The SRA Compensation Fund is maintained by the SRA. Payment
Compensation may be made from the Fund where a client has suffered as a result of
Fund defaulting practitioner’s act or omission
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
CHAPTER 1 – CLIENT CARE
Providing a proper O1.1: You must treat your clients fairly
standard of care 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 O1.12: You must ensure clients are in a position to make informed
able to make decisions about the services they need, how their matter will be handled
informed decisions 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
The legal profession and regulating the profession
LEGAL PROFESSION
Professional Professional conduct is the term that is used to describe the rules,
conduct regulations and requirements with which a solicitor must comply.
Solicitors are in a position of trust, and so a higher standard of
behaviour is expected of them than of members of the public.
Solicitors The SRA regulates solicitors in England and Wales. It also controls
Regulation such matters as training and entry into the profession.
Authority
The Law The Law Society is the representative body for solicitors in England
Society and Wales. Membership is voluntary, but all solicitors (and those
employed by them) are bound by the requirements of professional
conduct whether or not they are members of The Law Society.
REGULATING THE LEGAL PROFESSION
SRA The SRA publishes and enforces rules and requirements concerning
how solicitors, authorised bodies and their employees behave and
conduct their business. The subject matter of this Part is the SRA
Handbook which sets out the standards and requirements which apply
to everyone regulated by the SRA – Principles/ Codes are within the
Handbook
Complaints Ever firm must have a complaints handling procedure, and must
against ensure that complaints are dealt with promptly, fairly, openly and
solicitors effectively (Para 8.5). If the firm cannot resolve a complaint, the
client must be given details of the Legal Ombudsman (Para 8.4).
Legal The Legal Ombudsman is the sole point of receipt for complaints
Ombudsman concerning services provided by solicitors and other types of legal
practitioner, and refers any allegations of breaches of the
requirements of professional conduct concerning solicitors to the
SRA.
Lawyer must have 8 weeks to deal with the complaint before going
to the Legal Ombudsman.
Can only deal with complaints that have happened since 6th October
2010
Powers of the Where the Legal Ombudsman makes a determination following a
Legal complaint, it has the power to order the firm of solicitors to limit its
Ombudsman fees, or to direct that the firm must compensate the client up to the
sum of £50,000 (plus interest) amongst other sanctions. The Legal
Ombudsman cannot pay compensation to a client itself.
Powers of the Where a finding of professional misconduct is made, the SRA may
SRA – discipline the firm or regulated individual by imposing disciplinary
professional sanctions, or referring the matter to the Solicitors Disciplinary
misconduct Tribunal. The SRA may also revoke or suspend authorisation of the
firm.
, Solicitors The Solicitors Disciplinary Tribunal hears and determines
Disciplinary applications relating to allegations of professional misconduct. It is
Tribunal independent of the SRA and The Law Society. It has the power to
suspend a solicitor, to fine a solicitor an unlimited amount and, in the
most extreme cases, to strike a solicitor off the roll – which will
effectively end his career.
Negligence In addition to or instead of the actions that the SRA may take against a
solicitor, a solicitor may be sued by his client in the tort of
negligence. A solicitor owes his client a duty of care, where this duty
is breached, and the client suffers a foreseeable loss as a result of that
breach, the solicitor may be sued for negligence. Firms must carry
compulsory indemnity insurance against such actions.
The SRA The SRA Compensation Fund is maintained by the SRA. Payment
Compensation may be made from the Fund where a client has suffered as a result of
Fund defaulting practitioner’s act or omission
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
CHAPTER 1 – CLIENT CARE
Providing a proper O1.1: You must treat your clients fairly
standard of care 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 O1.12: You must ensure clients are in a position to make informed
able to make decisions about the services they need, how their matter will be handled
informed decisions 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
