The SRA can act if any of the principles are breached; action ranges from issuing a warning to intervening in the firm and closing it with immediate effect. The Code of Conduct outlines the professional standards that are expected from the individuals and the firms that they regulate. These standards list indicative behaviours as examples of how particular outcomes can be achieved. The indicative behaviours demonstrate how we might be able to provide the right outcomes for our clients but enabling us to be flexible as to how we operate. Finally, the Handbook contains a series of rules that must be abided by. These include account rules to protect the money that we hold, authorisation and practising requirements and client protection. They also set qualification standards for solicitors, monitor the performance of training organisations, assess the character and suitability of the individuals they regulate and administer the roll (list) of solicitors. The SRA has the power to take enforcement action where there is a failure to co-operate or a significant risk to consumers or the public.


The SRA do not, however, deal with complaints against firms or solicitors from the general public. In the first instance, a complaint has to be made to a firm and then it can be referred to the Legal Ombudsman if it is not dealt with to your satisfaction. All this adds up to an insurance backed assurance of receiving the highest quality advice and representation – don’t trust your case to anyone else.

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