The following Practice Compliance guidance note provides comprehensive and up to date legal information covering:
This Practice Note contrasts the requirements in the Solicitors Regulation Authority’s (SRA’s) 2011 and 2019 regimes as well as wider requirements in relation to complaints. There is a separate Practice Note providing more detailed guidance on the SRA’s 2019 complaints requirements—see Practice Note: Complaints 2019.
Regulatory requirements in relation to complaints are contained in various places, including the 2019 Codes, the SRA Financial Services (Conduct of Business) Rules, the SRA Transparency Rules and the SRA Indemnity Rules. Applicable requirements also stem from the Legal Services Board (LSB). These are summarised in the Legal Ombudsman (LeO) Scheme Rules.
SRA requirements in the 2019 Codes in relation to complaints specifically apply only when you are providing services to the public or a section of the public.
The requirements in the 2019 Codes represent the bare bones of those in the 2011 Code.
You will see in the tables below, however, that the pared-down requirements in the 2019 Codes do not represent a relaxation of the SRA’s expectations on complaints. Generally, the omitted items in the Codes can be mapped across to one or more obligation in the 2019 Principles, or remain LSB and/or LeO requirements or requirements elsewhere in the SRA or regulatory regime.
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