Complaints 2019—law firms
Complaints 2019—law firms

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

  • Complaints 2019—law firms
  • Comparison to the SRA 2011 regime
  • Regulation of complaints
  • SRA requirements
  • EU requirements
  • Lexcel and good practice
  • Complaints handling procedures
  • Information requirements
  • Co-operation
  • Financial services
  • more

This Practice Note reflects requirements in the Solicitors Regulation Authority (SRA) Codes of Conduct 2019 (2019 Codes) in relation to complaints, in force from 25 November 2019. See Practice Note: Complaints—SRA 2011 regime and SRA 2019 regime compared for a comparison of the requirements of the 2011 and 2019 regimes.

The SRA's core regulatory requirements in relation to complaints are found in the two Codes of Conduct (the SRA Code for Solicitors 2019 and the SRA Code for Firms 2019), which should be read in the context of the SRA Principles 2019.

The 2019 Principles and Codes form part of SRA Standards and Regulations 2019, which are the culmination of a wholesale review of the SRA’s regulatory regime. In force from 25 November 2019, they set out the standards and requirements individual solicitors and firms regulated by the SRA are expected to achieve and observe replacing the SRA Handbook 2011.

The Standards and Regulations will be accompanied by case studies and guidance in a variety of formats, such as Q&As, warning notices, decision trees and ‘topic guidance’. The SRA has indicated what guidance it initially intends to produce—see Practice Note: SRA Standards and Regulations—Supporting guidance. This includes guidance on publishing complaints procedures, including how to complain to the Legal Ombudsman (LeO) and the SRA.

Comparison to the SRA 2011 regime

The requirements in