The Solicitors Regulation Authority (SRA) Standards and Regulations set out the high professional standards expected of the solicitors, lawyers and businesses it regulates.
The SRA Standards and Regulations replaced the SRA Handbook from 25 November 2019.
The Standards and Regulations are shorter and less prescriptive than the handbook. The SRA believes this offers solicitors greater flexibility.
However, solicitors need to use greater professional judgement to ensure compliance to the SRA.
The Standards and Regulations are underpinned by the SRA’s enforcement strategy.
You have a duty to report serious concerns or breaches of the codes of conduct promptly.
There are seven SRA Principles that apply to individuals and firms.
Solicitors must act:
Under the Standards and Regulations, there is:
These codes of conduct give you a framework for ethical and competent practice whatever your role, the organisation you work for or the environment you work in.
All firms with a website must display the SRA’s digital badge. It’s a key way for firms to show they are regulated by the SRA.
The SRA Accounts Rules are shorter, less prescriptive and trust you to act in your client’s best interests.
If you’re an in-house solicitor, the rules could offer you more flexibility in how you work. For example:
Under the Standards and Regulations, you could be an SRA-regulated:
If you decide to work in one of these ways, you should make sure you understand:
You have a duty to report serious concerns or breaches of the codes of conduct promptly.
If you’re an individual solicitor, or registered European or foreign lawyer, you should tell your firm’s compliance officer for legal practice (COLP) about your concerns, as appropriate.
The COLP will then make a professional judgement on whether to report your concerns to the SRA.
However, if you think a report should be made to the SRA but you’re not satisfied the COLP will take the same view, you should make the report yourself.
You can find more information about when to report in section 1.2 of the SRA enforcement strategy.
The SRA's professional ethics helpline for solicitors offers advice on the SRA Standards and Regulations to solicitors, trainees and solicitor apprentices. You can choose to remain anonymous.
Call 0370 6062577 from 10am to 1pm and 2pm to 4pm, Monday to Friday.
Chat with the team online between 9am and 10am, 1pm and 2pm, and 4pm and 5pm, Monday to Friday (closed on Wednesday).You’ll find resources, including videos and ethical scenarios, on our ethics in law page.
You can also contact our Practice Advice Service on 020 7320 5675.
The SRA can handle reported breaches in different ways.
If the breach is minor and unlikely to be repeated, the SRA will not take action.
In more serious cases, it will open an investigation. But even when an investigation is opened, there may not be any sanction.
For example, an investigation could be closed with advice to the firm, which may include a warning about future sanctions if the breach is repeated.
If firms cooperate with the process, the SRA may be more likely to resolve the issue by supporting them through guidance, supervision and monitoring.
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For in-depth information on best practice, see:
