Professional Conduct and Ethics

The areas we advise on include the following:

  • SRA investigations, disciplinary proceedings and RSA’s.  See further here.
  • Preparing for a visit by the SRA, whether as part of an SRA thematic review or on short notice.  We can help you get your house in order, counsel you on what to expect, and advise as it unfolds.
  • Compliance with the SRA Standards & Regulations 2019.  See our Compliance Calendar Toolkit for Law Firms.
  • Gap analysis (showing where the gaps are in your compliance currently) and the materials you need to fill those gaps (e.g. office manual, client engagement letters).
  • the SRA Handbook and other statutory requirements for law firms, ABSs and in-house legal teams.
  • Avoiding and managing conflicts of interests and confidentiality issues.
  • SRA Accounts Rules issues.
  • Complaints, both initial handling and those referred to the Legal Ombudsman.
  • Compliance with separate business requirements and requirements on referral arrangements.
  • Costs and funding issues.
  • Obligations on COLPs and COFA, see further Legal advice: GC, MLRO, COLP/COFA.
  • Ethics workshops.

Key Contact

Francis Dingwall

For specialist legal advice on Professional Conduct and Ethics please contact Francis.

0345 330 6791 francis.dingwall@legalrisk.co.uk

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