SRA Code of Conduct for individuals and firms
SRA Code of Conduct for individuals and firms

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

  • SRA Code of Conduct for individuals and firms
  • SRA Principles
  • Structure and form of the Codes of Conduct
  • Code for Solicitors
  • Code for Firms
  • Contrasting the two Codes
  • Maintaining trust and acting fairly
  • Compliance and business systems
  • Dispute resolution and proceedings before courts, tribunals and inquiries
  • Service and competence
  • More...

This Practice Note provides guidance on the SRA Codes of Conduct, contained in the SRA Standards and Regulations, in force from 25 November 2019. The SRA Standards and Regulations include two Codes of Conduct—a Code forSolicitors, RELs and RFLs and a Code for Firms.

The Standards and Regulations (including the Codes of Conduct) set out the standards and requirements that individual solicitors and firms regulated by the Solicitors Regulation Authority (SRA) are expected to achieve and observe:

  1. for the benefit of clients, and

  2. in the general public interest

This Practice Note explains how the SRA Codes of Conduct are structured, who is responsible for compliance with them and the potential consequences of breach. It contains a series of tables setting out and contrasting how the requirements in the Codes apply to individuals and to firms.

For guidance on the 2019 regulatory regime, see Practice Notes:

  1. SRA regulatory regime—from 2019

  2. SRA Standards and Regulations

  3. SRA Accounts Rules 2019

  4. Breach reporting 2019—law firms

SRA Principles

The Codes of Conduct should be read in the context of the SRA Principles, which set out the ethical standards expected of all those regulated by the SRA. These are mandatory and require you to act:

  1. in a way that upholds the constitutional principle of the rule of law, and the proper administration of justice

  2. in a way that upholds public trust and

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