Q&As

Do the SRA Codes of Conduct apply to law firm employees?

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Published by a LexisNexis Practice Compliance expert
Published on: 17 June 2019
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The firm’s COLP and COFA are required to ensure compliance by the firm and its managers, employees or interest holders with the SRA’s regulatory arrangements which apply to them. However, in the case of non-solicitor employees, it is by no means clear what these are.

SRA principles

The Principles do apply to employees. According to the SRA:

‘The SRA Principles comprise the fundamental tenets of ethical behaviour that we expect all those that we regulate to uphold. This includes all individuals we authorise to provide legal services (solicitors, RELs and RFLs), as well as authorised firms and their managers and employees.’

Code for Solicitors, RELs and RFLs

The Code for Solicitors does not appear to apply to law firm employees, other than solicitors, registered European lawyers (RELs) and registered foreign lawyers (RFLs). According to the SRA:

‘The Code of conduct describes the standards of professionalism that we, the

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United Kingdom
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Key definition:
SRA principles definition
What does SRA principles mean?

The SRA Principles preface the SRA Handbook and set out mandatory and fundamental requirements for ethical behaviour and practice for those individuals and firms regulated by the SRA.

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