SRA Standards and Regulations

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

  • SRA Standards and Regulations
  • Accessing the SRA Standards and Regulations
  • Who the Standards and Regulations apply to
  • Contents of the SRA Standards and Regulations
  • Regulatory approach
  • SRA Principles
  • Codes of Conduct
  • Code for Solicitors
  • Code for Firms
  • Supporting guidance
  • More...

SRA Standards and Regulations

The SRA Standards and Regulations set out the standards and requirements that individual lawyers 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

The Standards and Regulations are in force from 25 November 2019. This Practice Note explains how the SRA Standards and Regulations are structured, who is responsible for compliance with them and the potential consequences of breach of the SRA’s requirements.

Accessing the SRA Standards and Regulations

The Standards and Regulations are available from the SRA website.

Who the Standards and Regulations apply to

The Standards and Regulations apply to solicitors, registered European lawyers (RELs), registered foreign lawyers (RFLs), authorised firms and firms’ managers and employees depending on the context of a given provision.

The preamble to the Code of Conduct for Firms specifically cautions that the SRA may take actions against employees of a firm for any breaches for which they are responsible.

In an alternative business structure (ABS) a given section would apply to those individuals and the part of the body (where applicable), involved in delivering services regulated by the SRA as set out in the ABS’ licence.

Contents of the SRA Standards and Regulations

The SRA Standards and Regulations comprise the following sections:

SectionWhat it covers
SRA PrinciplesThe SRA’s ethical standards
SRA Code

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