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 Code of Conduct 2011.  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.


  • 18 . 04 . 2018 SRA proposals for PII reform – are there any winners? | JLT SRA proposals for PII reform – are there any winners? | JLT

    First published here.

  • 29 . 03 . 2018 Risk Update March 2018 Risk Update March 2018

    Demolition job: SRA Consultation on Professional Indemnity Insurance (PII)-Challenging opponents’ legal costs-What is integrity?-General Data Protection Regulation-Conflicts of Interests and Confidentiality-AML-Non-disclosure agreements

  • NEXT EVENT Liverpool Law Society – Compliance Conference 2018 Liverpool Law Society – Compliance Conference 2018 Location: Liverpool Law Society, 2nd Floor, Helix, Edmund Street, Liverpool, L3 9NY Start: May 23, 2018 RECENT NEWS