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GLOSSARY

SRA principles definition

Published by a LexisNexis Practice Compliance expert

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.

They deal with, for example, the need to uphold the law and proper administration of justice and to act with integrity. They also underline, for example, the importance of firms being properly governed and managed and of encouraging equality and promoting diversity.

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SRA's enforcement function

The Solicitors Regulation Authority (SRA) has three core operational functions: •authorisation (see Practice Note: SRA's authorisation function)•supervision (see Practice Note: SRA's supervision function)•enforcement (which this Practice Note covers)This Practice Note describes the SRA’s enforcement function and its general approach to enforcement. For more information on the SRA’s detailed enforcement strategy, see Practice Note: SRA enforcement strategy.Conduct, negligence and complaintsThe SRA's enforcement teams deal with conduct issues rather than complaints about poor service, which are handled by the Legal Ombudsman (LeO) (see Practice Note: Legal complaints handling—regulatory bodies). Examples of conduct and service issues include:Conduct issue for SRAService issue for LeOUnjustified retention of client moneyFailure to follow instructionsFailure to account to client for money due to themUnreasonable delaysActing in a conflict situation Failure to reply to letters, emails or telephone callsDiscriminationInadequate costs informationBreach of undertakingFailure to progress a matterIf a matter relates to potential negligence, it may also be a conduct issue. The SRA can deal with the conduct element but not negligence. There is nothing to stop a client bringing...

Conflicts of interest—systems and controls

Conflicts of interest—systems and controls The SRA Codes of Conduct (the SRA Code for Solicitors, RELs and RFLs (Code for Solicitors) and the SRA Code for Firms) refer to two types of conflict of interest as shown below: Type of conflict Term used by SRA Brief description Own interest conflict Own interest conflict Where your duty to act in the best interests of a client conflict, or may conflict, with your own interests in relation to that matter or a related matter Client conflict Conflict of interest Where your separate duties to act in the best interests of two or more clients conflict in relation to that matter or a related matter (commonly known as a client conflict) You can never act when there is an own interest conflict. You cannot act when there is a client conflict of interest unless: • one of two specific exceptions applies, and • additional safeguards are met A third category of ‘commercial’ conflicts can arise in practice. These are...

Discover our 4 Practice Notes on SRA principles

Referral and fee sharing—approval request—personal injury and non-personal injury

Referral and fee sharing—approval request—personal injury and non-personal injury Details of arrangement Person making request [Insert the name of the requestor] Date of request Name of proposed introducer/fee sharer Financial or other terms proposed Do you have any personal interest in the proposed arrangement?(eg are you related to the introducer) Does the arrangement involve making payments to an introducer in respect of clients who are the subject of criminal proceedings.(If so, we cannot make a payment to the introducer) [Does the arrangement involve making payments to an introducer in relation to clients who are likely to receive public funding?(As a matter of policy, we will not

SRA Standards and Regulations—post-training assessment questions

SRA Standards and Regulations—post-training assessment questions How to use this test These questions are designed to test your understanding after your attendance at training on the SRA Standards and Regulations. After you have completed this test, please return it to [insert name]. General Name of person completing test [Insert name] Role [Insert role] Date [Insert date] Multiple choice questions Circle the correct answer. Question Multiple choice answers 1. Under the SRA Standards and Regulations, how many Codes of Conduct are there? (a) One(b) Two(c) Three 2. How many SRA Principles are there? (a) 8(b) 7(c) 6 3. Who has a duty to report compliance breaches? (a) All members of staff(b) Fee earners(c) Managers 4. Organisations that provide legal services have to be authorised if they provide which of the following? (a) Reserved legal activities(b) Any legal advice(c) Non-reserved legal activities 5. Circle all the reserved legal activities. (a) Will writing(b) Probate activities(c) The exercise of a right of audience(d) Administration of oaths(e) Providing advice on the law 6....

Dive into our 9 Precedents related to SRA principles

If a solicitor agrees to charge a fixed fee for a piece of work but then does not carry out all the work which was envisaged in the original engagement letter, is he/she still entitled to charge the full fixed fee or is he only entitled to charge for the work actually carried out?

If a solicitor agrees to charge a fixed fee for a piece of work but then does not carry out all the work which was envisaged in the original engagement letter, is he/she still entitled to charge the full fixed fee or is he only entitled to charge for the work actually carried out? Where a solicitor and client have a fixed fee engagement but not all work set out in the engagement is completed, the solicitor’s right to charge fees will depend on the specific terms of the engagement and any other terms of business. For example, the terms of engagement may include an abortive fees clause (ie where the solicitor is entitled to charge certain fees if the client terminates the engagement) or a clause specifying how fees will be calculated where there is partial completion of the engagement. It will also be important to consider whether or not payment of the fixed fee is dependent on completion of the engagement or not. See the...

If we are on the record as acting for a client in a civil claim but are unable to obtain instructions from the client in relation to compliance with a court order which deals with various case management issues regarding directions questionnaires, lists of issues, disclosure and costs budgets, and the client specifically doesn't want us to carry out the work in order to comply, will there be any come back on the firm for failing to comply with the deadline, or only the client in terms of its defence being struck out/costs sanctions etc?

If we are on the record as acting for a client in a civil claim but are unable to obtain instructions from the client in relation to compliance with a court order which deals with various case management issues regarding directions questionnaires, lists of issues, disclosure and costs budgets, and the client specifically doesn't want us to carry out the work in order to comply, will there be any come back on the firm for failing to comply with the deadline, or only the client in terms of its defence being struck out/costs sanctions etc? Failing to comply with civil procedural rules, practice directions and/or court orders can increase the amount of time it takes for a dispute to be resolved and/or the costs of doing so. These delays and costs affect other court users, as well as the parties to the instant proceedings. In keeping with the April 2013 Jackson Reforms’ intention to keep the time and cost of litigating to a minimum, the courts...

See the 2 Q&As about SRA principles