SRA Code of Conduct

Question 1

What is referred to as the code of conduct or codes?

Answer 1

SRA code of conduct for solicitors , RELs & RFLs

SRA code of conduct for firms (managers & compliance officers)

Question 2

Do the SRA Accounts Rule form part of the code of conduct?

Answer 2

No

Question 3

What are the 12 code of conducts for solicitors, RELs & RFLs?

Answer 3

1. Trust & acting fair
2. DR
3. Service & Competence
4. Clients money & assets
5. Referrals
6. Other business
7. Conflicts
8. Confidentiality & disclosure
9. Cooperation & accountability
10. Client identification
11. Complaints handling
12. Clients Info & Publicity

Question 4

What are the 10 codes of conduct for firms?

Answer 4

1. Trust & Fair
2. Compliance & systems
3. Cooperation & accountability
4. Service & competence
5. Client money & assets
6. Conflicts of interest
7. Confidentiality & disclosure
8. Standards in SRA for sols & co
9. Managers in SRA authorised firms
10. Compliance Officers

Question 5

What is the purpose of the code of conduct?

Answer 5

Standards expected of professionalism

Question 6

What is the scope of the code of conduct?

Answer 6

Applies to conduct & behaviour to a solicitors practice with a framework for ethical competent practice.

Question 7

Is a solicitor personally accountable for compliance of the codes of conduct?

Answer 7

Yes

Question 8

What should you do to protect your decision when a code of conduct arises?

Answer 8

Be able to justify the decision & action by keeping a full and frank attendance note of the code & why.

Question 9

What happens if a solicitor breaches the code of conduct?

Answer 9

SRA takes action against them.

Question 10

What underpins the action the SRA takes for a breach of the code of conduct?

Answer 10

Enforcement Strategy (framework)

Question 11

What is the enforcement strategy ?

Answer 11

Sets out factors when assessing seriousness of breach in the public interest

Question 12

What does the ES set out?

Answer 12

When reports should be made
Private life
When to take action
Sanctions & controls by SRA & SDT

Question 13

What is a retainer?

Answer 13

A contract that exists between a solicitor and client.

Question 14

What should a retainer clearly state?

Answer 14

Terms of agreement
(Governed by contract law)

Question 15

If a solicitor allows their personal views to affect a professional relationship e.g race/religion/gender what’s are they doing?

Answer 15

Unfair discrimination