Client care policy—regulatory requirements 2011 [Archived]
Client care policy—regulatory requirements 2011 [Archived]

The following Practice Compliance practice note provides comprehensive and up to date legal information covering:

  • Client care policy—regulatory requirements 2011 [Archived]
  • The requirements
  • Treating your clients fairly
  • Client vulnerabilities
  • Costs requirements
  • Complaints
  • Negligence
  • Conducting the matter
  • Regulation
  • Accepting or refusing instructions and ceasing to act
  • More...

Client care is about providing a proper standard of service to your client. Chapter 1 of the Solicitors Regulation Authority (SRA) Code of Conduct 2011 sets out your regulatory obligations.

There is no regulatory requirement to have a written client care policy, except in relation to complaints, but as you may have to justify your client care arrangements to the SRA, you should ensure you maintain a proper record of the arrangements you have and be able to show they are appropriate.

This Practice Note explains the regulatory requirements on client care. For more on complaints, see Practice Note: Complaints—regulatory requirements—law firms 2011 [Archived].

The requirements

You must:

  1. act with integrity

  2. not allow your independence to be compromised

  3. act in the best interests of each client

  4. provide a proper standard of service to your clients

  5. behave in a way that maintains public trust

  6. comply with your legal and regulatory obligations

The information you provide to clients and the procedures you put in place will vary depending on the needs and circumstances of your clients and the services you provide. For example, sophisticated commercial clients are unlikely to need the same information as private individuals for whom you carry out one-off conveyancing matters.

Chapter 1 of the SRA Code of Conduct sets out 16 outcomes you must achieve. These can broadly be broken down into the following sections:

  1. treating your

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