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Client care letters - Archive version

Client care letters - Archive version

21 January 2010

1 Introduction

1.1 Who should read this practice note?

This practice note is relevant to all those who are required to prepare client care letters.

1.2 What is the issue?

Many clients are not regular users of legal services provided by solicitors. In addition, a solicitor is often instructed while the client is experiencing a stressful situation. The primary issue for the client is a successful resolution of their legal problem or completion of their transaction. Specific details around costs and what services you will provide to them can often be considered as secondary by the client until a problem arises.

A vital tool for helping to focus the client on the exact parameters of a retainer is the initial letter to the client, often called the client care letter, and any attached terms of business. They may also be used as evidence against complaints of insufficient information or inadequate professional service.

Even with knowledgeable or regular users of legal services, you should still ensure the exact scope of the retainer is recorded to limit the potential for disputes.

2 Communication

2.1 Principles of effective communication

The code of conduct outlines a number of issues that must be communicated in writing to the client at the outset of the retainer. It does not specify a format for providing this written information, but states that it should be provided in a clear and readily accessible manner.

To communicate well, you should:

Make sure that the information you need to communicate is presented in a clear and straightforward manner. Complicated forms and overly legalistic language will act as a barrier to understanding.
Be alert to communication challenges which clients face, such as hearing difficulties, disability, learning difficulties, language barriers or other cross-cultural issues, and look at ways to overcome those challenges.
Consider your client demographic when deciding how to present information. For example, you may provide information in a language other than English, if you have a large client base from a particular ethnic group for whom English is a second language.

As people understand information differently, you may explain to your client the importance of the client care letters and the terms of business. You should also provide the opportunity to explain any parts of the documents they do not understand or have questions about.

2.2 Length and style

Many clients complain about being given large documents containing lots of legal language in small print by their solicitors. Often these documents are not read or understood.

You should adopt the following style in your client care letters to help clients understand them:

Prepare separate terms and conditions if the client care letter will exceed three pages once all of the required information is included. This ensures important information is not overlooked.
Use a clear font such as Arial or Times New Roman, in no smaller than 11 point. Use at least single line spacing.
Make use of headings and bullet points to break up blocks of text and highlight points.
Use plain language.
Only include terms and conditions which actually apply to the specific retainer.
Include a table of contents, if the terms and conditions are longer than five pages.

3 Client care letters

3.1 Who is the client?

While not a regulatory requirement, your client care letter should clearly identify who you understand your client to be and what capacity they are acting in. This is particularly relevant when acting for more than one person, for a trustee, an agent or for a legal entity.

3.2 Client's instructions

Rule 2.02 provides that you must both:

clearly identify the client's objectives in relation to the work to be done for the client
give the client a clear explanation of the issues involved and the options available to them

Confirming this in writing will create a contemporaneous record of the scope of the relevant retainer. This will be one relevant factor in resolving complaints of failing to comply with instructions.

You should also include information about any limitations or specific exclusions from the retainer. For example, you may need to advise the client that standard local authority searches on a conveyance may not guarantee that the land is not contaminated and so they may wish to seek the advice of an environmental consultant.

3.3 Agree the next steps

Rule 2.02 provides that you must agree with your client at the outset the next steps to be taken.

Confirming this in writing will provide a clear record for you and the client of what will happen next. You should include information about timescales for completing these next steps where possible, to manage the client's expectations and provide yourself with a timetable to help limit delay.

3.4 Who will be handling the retainer?

You must give the client the name and status of the person dealing with the matter and the name of the person responsible for its overall supervision.

You should advise who in your office will be able to access the client's file and answer routine queries when you are out of the office.

You should also set out how the client is best able to contact you. For example: 'I can usually be contacted by telephone after [time] each day.'

3.5 Costs

The failure to provide adequate costs information is one of the areas most likely to result in a client complaint.

Rule 2.03 of the code of conduct provides that you must give your client the best information possible about the likely overall cost of a matter at the outset and at other appropriate times. You must also discuss with them whether the likely outcome of the matter will justify the risks involved.

The client needs to thoroughly understand the cost implications of proceeding with a matter before they can make an informed decision on whether to proceed and whether to retain your firm. You should communicate all costs information in plain language and in a way which makes it clear to the client exactly what they are paying for.

You must provide all costs information in writing.

For further advice on providing costs information see:

rule 2.03 and related guidance in the code of conduct,
Practice Advice Service booklets.

3.5.1 Best possible information

To give the best information possible, you may:

agree a fixed fee
give a realistic estimate
give a forecast within a possible range of costs
explain why overall costs cannot be fixed or realistically estimated - instead give best information possible about the cost of the next stage of the matter.

3.5.2 Providing details of charges

You must make it clear how charges are calculated. You must outline:

the basis for the fixed fee or the relevant hourly rates and an estimate of the time to be charged
whether rates may be increased during the period of the retainer
expected disbursements and likely timeframes for these being due
potential liability for others' costs, where relevant
VAT liability

3.5.3 Court assessment

From 1 March 2010 , you must inform your client at the outset, in writing, of their right to object to the bill and apply for an assessment of the bill under Part III of the Solicitors Act 1974.

3.5.4 Method of payment

You must confirm with the client how and when any costs are to be paid. In doing so, you must consider whether the client may:

be eligible for legal aid and should apply for it
be offered a conditional fee agreement
have insurance that may cover another party's costs - if they do not, you should consider whether to advise the client to seek after the event insurance to cover such costs
seek payment of the costs from another person such as an employer or trade union

3.5.5 Other points

You must provide costs information to the client even where the client will not themselves be paying for your services, eg if they are publicly-funded, covered by insurance or instructing you under a conditional fee agreement.

You must outline the circumstances in which the client may be liable for the costs of other parties, including where they are successful and obtain an award for costs.

You must advise your client that you can exercise a lien over their papers for unpaid costs. This may be done in the letter or in the terms of business with respect to terminating the retainer.

From 1 March 2010 , you must advise clients at the outset, in writing, that you may be able to charge interest on all, or part of, the bill if it is unpaid. You should outline your standard billing arrangements and discuss any requirements for receiving funds on account.

You should, in appropriate cases, explain that the client may set an upper limit on the costs the firm may incur without obtaining further authority and that you will contact them in writing when this limit is being approached to discuss the issue of costs further.

3.6 Complaints

You must advise clients at the outset, in writing, of their right to complain, and the process for doing so. From 1 March 2010 , you must also advise them of their right to complain about the bill.

You should include a simple prominent paragraph in the client care letter that covers:

the client's right to take a complaint to the Legal Complaints Service (or in future the Office for Legal Complaints), and
the contact details for that organisation.

For example:

Complaints
[Practice name] is committed to high quality legal advice and client care. If you are unhappy about any aspect of the service you have received, or about the bill, please contact [Name] on [phone number and e-mail] or by post to our [place] office.

If you are not satisfied with our handling of your complaint you can ask the [Office for Legal Complaints / Legal Complaints Service] at [contact details] to consider the complaint.

For further information on managing complaints effectively, see the Law Society's complaints management practice note.

3.7 Terms of business

Where you have separate terms of business, you should make reference to their existence and explain their importance.

If there is a significant aspect of service or another unusual aspect of the retainer specifically agreed with the client that forms part of your usual terms of business, you should consider whether to simply amend the terms of business, or include it separately in the client care letter.

3.8 Client's acknowledgement

While not a regulatory requirement, you should get your client to sign and date a copy of the client care letter and any attached terms of business. This helps you if there is a complaint from the client that they were not provided with the relevant information or that it was not sufficiently clear.

Under rule 48.8 of the Civil Procedure Rules, if the client has not agreed your terms of business in a contentious matter in the County Court, you will be unable to claim any more costs from the client than the client is entitled to recover from the other side.

4 Terms of business

4.1 General terms

4.1.1 Service Standards

At the outset of the retainer you must agree an appropriate level of service with the client. You should confirm this in writing.

Service standards may include:

We will update you [by telephone or in writing] with progress on your matter [regularly, fortnightly, monthly, following agreed events] - the Law Society believes this should occur at least every six weeks, unless agreed to the contrary.
We will communicate with you in plain language.
We will explain to you [by telephone or in writing] the legal work required as your matter progresses.
We will update you on the cost of your matter [monthly, three monthly, six monthly, at agreed events] - the Law Society believes this should occur at least every six months.
We will update you on whether the likely outcomes still justify the likely costs and risks associated with your matter whenever there is a material change in circumstances.
We will update you on the likely timescales for each stage of this matter and any important changes in those estimates.
We will continue to review whether there are alternative methods by which your matter can be funded.

4.1.2 Responsibilities

You must explain to the client the respective responsibilities of the solicitor and the client in relation to the particular retainer. You should confirm these in writing.

Your responsibilities may include:

We will review your matter regularly.
We will advise you of any changes in the law.
We will advise you of any circumstances and risks of which we are aware or consider to be reasonably foreseeable that could affect the outcome of your matter.

The client's responsibilities may include:

You will provide us with clear, timely and accurate instructions.
You will provide all documentation required to complete the transaction in a timely manner.
You will safeguard any documents which are likely to be required for discovery.

4.1.3 Hours of business

You should advise the client of your practice's normal opening hours and the details of any out-or-hours or emergency service you provide.

4.1.4 Professional Indemnity Insurance

You must provide clients with the contact details of your PII provider and the territorial coverage of that insurance. This information can be provided in the client care letter, via the firm's website or made easily accessible at the firm's place of business

4.1.5 Equality and diversity

Rule 6.03 of the code of conduct provides that you must have an equality and diversity policy and make it available where requested. You should make sure that client's are aware that such a policy exists and that they can ask for a copy.

You may wish to highlight your policy in your terms of business. For example:

[Practice name] is committed to promoting equality and diversity in all of its dealings with clients, third parties and employees. Please contact us if you would like a copy of our equality and diversity policy.

4.1.6 Data protection

You must comply with the Data Protection Act 1998 with respect to information held on your client. You should include reference to how you comply with the Data Protection Act in your terms of business.

For example:

We use the information you provide primarily for the provision of legal services to you and for related purposes including:
updating and enhancing client records
analysis to help us manage our practice
statutory returns
legal and regulatory compliance
Our use of that information is subject to your instructions, the Data Protection Act 1998 and our duty of confidentiality. Please note that our work for you may require us to give information to third parties such as expert witnesses and other professional advisers. You have a right of access under data protection legislation to the personal data that we hold about you.

We may from time to time send you information which we think might be of interest to you. If you do not wish to receive that information please notify our office in writing.

4.1.7 Storage of documents

You should advise the client how long you will retain the file and outline what will happen to the file after that time.

You should advise the client of costs related to all of the following:

storage
retrieval
additional copies

If you intend to store documents in an electronic format, you should first consider whether the absence of paper documents will be detrimental to the client's interests, before you agree to such storage methods with your client.

You should also consider any file retention requirements of your indemnity insurers when assessing the appropriate length of time to retain client files.

For further information on storage of files, particularly in relation to wills and probate files, see the Law Society's file retention practice note.

For further information on retention of client due diligence files, see paragraph 3.8 of the Law Society's anti-money laundering practice note.

For example:

After completing the work, we will be entitled to keep all your papers and documents while there is still money owed to us for fees and expenses.

We will keep our file of your papers for up to [x] years, except those papers that you ask to be returned to you. We keep files on the understanding that we can destroy them [x] years after the date of the final bill. We will not destroy documents you ask us to deposit in safe custody.

If we take papers or documents out of storage in relation to continuing or new instructions to act for you, we will not normally charge for such retrieval. However we may charge you both for:

time spent producing stored papers that are requested
reading, correspondence or other work necessary to comply with your instructions in relation to the retrieved papers

4.1.8 Outsourcing of work

Where you outsource work on client files, there is a risk your outsourced provider may breach client confidentiality.

Drawing attention to this risk may mitigate any breach of confidentiality which then occurs, but you still risk a finding of misconduct or inadequate professional service. You should ensure that you have a confidentiality agreement with your suppliers.

In your terms and conditions you should:

advise the client if the practice outsources work and the type of work it outsources
alert the client to the potential risks in relation to preserving client confidentiality
ask the client to tell you if they object to this practice

For example:

Sometimes we ask other companies or people to do [typing/photocopying/other work] on our files to ensure this is done promptly. We will always seek a confidentiality agreement with these outsourced providers. If you do not want your file to be outsourced, please tell us as soon as possible.

4.1.9 Vetting of files and confidentiality

Where your files are required to be produced to assessors or others as part of an audit or quality check you should advise your client of this.

For example:

External firms or organisations may conduct audit or quality checks on our practice. These external firms or organisations are required to maintain confidentiality in relation to your files.

4.1.10 Limiting liability

Rule 2.07 of the code of conduct allows you to limit your practice's liability under certain circumstances. You must ensure that you advise the client of any limitation of liability in writing and specifically draw their attention to it.

Where your practice is a LLP you should also explain any limitation on personal liability for the members, directors and employees of the practice.

For further details on restrictions in relation to the limitation of liability, see the guidance to rule 2.07.

For example:

Our liability to you for a breach of your instructions shall be limited to £X, unless we expressly state a higher amount in the letter accompanying these terms of business. We will not be liable for any consequential, special, indirect or exemplary damages, costs or losses or any damages, costs or losses attributable to lost profits or opportunities.

We can only limit our liability to the extent the law allows. In particular, we cannot limit our liability for death or personal injury caused by our negligence.

Please ask if you would like us to explain any of the terms above.

4.1.11 Applicable law

You may specifically state that the law of England and Wales applies to any disputes over the terms and conditions, particularly if there is any international aspect to the retainer.

For example:

Any dispute or legal issue arising from our terms of business will be determined by the law of England and Wales, and considered exclusively by the English and Welsh courts.

4.1.12 Terminating the retainer

You should clearly state the manner in which a client can terminate your retainer and the consequences of them doing so. You should also outline the circumstances under which you can terminate the retainer, in accordance with rule 2.01. This may be an appropriate place to mention your right to a lien for unpaid costs.

For example:

You may end your instructions to us in writing at any time, but we can keep all your papers and documents while there is still money owed to us for fees and expenses.

We may decide to stop acting for you only with good reason, eg if you do not pay an interim bill or there is a conflict of interest. We must give you reasonable notice that we will stop acting for you.

If you or we decide that we should stop acting for you, you will pay our charges up until that point. These are calculated on [an hourly basis plus expenses/by proportion of the agreed fee] as set out in these terms and conditions.

4.1.13 Other requirements

The Service Directive, which was transposed into UK law on 28 Dec 2009, has other requirements regarding information that solicitors may need to provide to clients. These include the requirement to supply your VAT registration number if you are VAT registered.

Further information can be found at the Department for Innovation Business and Skills website.

4.2 Money laundering and terrorist financing

Your anti-money laundering obligations depend on whether you are providing services to this client within the regulated sector.

If you are providing a client with regulated services, you must conduct client due diligence and monitor your client's retainer for warning signs of money laundering or terrorist financing.

If you are not providing a client with regulated services, you must still monitor your client's retainer for warning signs of money laundering or terrorist financing.

If you provide both regulated and non-regulated services, you may wish to apply the higher level of obligations to all clients. However, you should consider the cost implications of doing so.

For advice on whether you are providing services within the regulated sector and other anti-money laundering requirements, see the Law Society's anti-money laundering practice note.

For further advice on your counter terrorist financing obligations, see the Law Society's anti-terrorism practice note.

4.2.1 Client due diligence

For more information on how to conduct CDD, see chapter 4 of the Law Society's anti-money laundering practice note.

While you may have already obtained CDD material before sending out the client care letter, you should still include information in the terms and conditions about your CDD obligations.

You should cover all of the following points in your terms and conditions:

The Money Laundering Regulations 2007 require you to:
- obtain information about a client's identity and to verify that information
- obtain identity information about people related to the client (beneficial owners), where relevant, and at times verify that information
- continue to monitor the transaction and keep identity information up to date
There are a number of processes by which you may verify a client's identity. You should state your practice's preferred method of verification, eg passport.
You should state any fees being passed on to clients for the purposes of conducting CDD. The photocopying of a passport or similar activities would come within normal administration costs, but search fees charged by external providers may be charged to the client as a disbursement.
If the client has difficulty providing the information you requested, you should ask them to contact you to discuss other ways to verify their identity.

For example:

The law requires solicitors to get satisfactory evidence of the identity of their clients and sometimes people related to them. This is because solicitors who deal with money and property on behalf of their client can be used by criminals wanting to launder money.

To comply with the law, we need to get evidence of your identity as soon as possible. Our practice is to [insert your standard practice]. The fee for these searches is £[x] and will appear on your bill under expenses.

If you cannot provide us with the specific identification requested, please contact us as soon as possible to discuss other ways to verify your identity.

4.2.2 Making a disclosure

If you suspect a client is engaged in money laundering or terrorist financing, you may risk committing a principal money laundering or terrorism offence or an offence of failing to disclose your suspicions to relevant authorities.

For further information on your legal options in these circumstances, see chapter 5 of the Law Society's anti-money laundering practice note.

Making a disclosure may require you to either temporarily cease work on the client's retainer or to withdraw completely. It is not tipping-off to include a paragraph about your obligations under the money laundering legislation in your terms of business.

For example:

We are professionally and legally obliged to keep your affairs confidential. However, solicitors may be required by statute to make a disclosure to the Serious Organised Crime Agency where they know or suspect that a transaction may involve money laundering or terrorist financing. If we make a disclosure in relation to your matter, we may not be able to tell you that a disclosure has been made. We may have to stop working on your matter for a period of time and may not be able to tell you why.

4.3 Mortgage fraud

Where you are acting for both the lender and the purchaser you should highlight the lender's requirements that you fully disclose to them relevant facts affecting their decision to make the loan. If you specifically draw this term to your client's attention and have them sign their acceptance of this term, then you may rely on this as consent from the client to make the disclosures to the lender.

For example:

We are also acting for your proposed lender [Name of bank/building society] in this transaction. We have a duty to fully reveal to your lender all relevant facts about the purchase and mortgage. This includes:
any differences between your mortgage application and information we receive during the transaction
any cash back payments or discount schemes that a seller is giving you

4.4 Fees and costs-related matters

4.4.1 Introductions and referrals

Rule 9.02 of the code of conduct provides that you must advise the client about any relationship you have with a third party, such as a funder, fee-sharer or introducer that affects steps you can take on the client's behalf. You must provide full disclosure regarding the extent of any payments made between yourself and the third party.

For example:

We have a financial relationship with [firm name] regarding your case/transaction. As a result of this relationship we:
(Option A) Pay [practice name] £[x] for them to refer your case/transaction to us],
(Option B) Receive £[x] from [practice name] to provide you with [service name(s)]. You will be required to pay £[x] to [practice name] for these services].
Despite this financial relationship with [practice name], we will provide you with independent advice and you are able to raise questions with us about any aspect of your case/transaction.

Any information you provide to us during your case/transaction will not be shared with [practice name] unless you agree. However, because we are acting both for you and [practice name] in your case/transaction, we may have to stop acting for both of you if there is a conflict of interest.

4.4.2 Payment of commissions

You must not make secret profit from your relationship with your client. Rule 2.06 of the code of conduct provides that you must pay any commission over £20 to your client unless you have told them the amount and they agree to you keeping this.

The guidance to Rule 2.06 provides that you should put the agreement regarding the retention of the commission in writing and that agreement must be obtained prior to receiving the commission. The Law Society believes you should have a separate written agreement for the commission, rather than simply including the details in your client care letter or terms of business.

If the commission relates to activities regulated by the FSA then you must obtain permission from the client even if the commission is valued under £20.

4.4.3 Payment of interest

The Solicitor's Accounts Rules provide that you must account to the client for any interest earned on client monies. You should advise the client of any circumstances where interest will be payable to them, and how and when you will account to them for it.

For example:

Any money received on your behalf will be held in our client account. Interest will be calculated and paid to you at the rate set by [name of bank and relevant accounts]. That of course may change. The period for which interest will be paid normally runs from the date(s) when funds are received by us until the date(s) on the cheque(s) issued to you. The payment of interest is subject to certain minimum amounts and periods of time set out in the Solicitors' Accounts Rules 1998.

4.4.4 Distance selling

If you have not met the client, you must consider whether the Consumer Protection (Distance Selling) Regulations 2000 [link] apply. These regulations provide for a period during which the client can cancel their instructions without cost. You should include information about this right in the terms of business.

For example:

We have not met with you, so the Consumer Protection (Distance Selling) Regulations 2000 apply to this file. This means you have the right to cancel your instructions to us within seven working days of receiving this letter. You can cancel your instructions by contacting us by post or by fax to this office.
Once we have started work on your file, you may be charged if you then cancel your instructions. If you would like us to commence work on your file within the next seven working days, please:
sign these terms and conditions
tick the box marked 'commence work now'
return it to this office by post or fax

For further information on distance selling requirements, see the Office of Fair Trading website.

4.4.5 Financial arrangements with clients

You should tell clients how you will receive funds from them and make payments to them. This is due to the strict requirements for client accounts, and the risk that clients may try to use your client account to launder money.

For example:

Our practice's policy is [not to accept cash from clients/to only accept cash up to £X].

If you try to avoid this policy by depositing cash directly with our bank, we may decide to charge you for any additional checks we decide are necessary to prove the source of the funds.

Where we have to pay money to you, it will be paid by cheque or bank transfer. It will not be paid in cash or to a third party.

4.5 Financial services

If your practice is authorised by the Financial Services Authority (FSA), you must ensure you comply with the requirements of the FSA as to status disclosure statements in your terms of business.

4.5.1 Providing exempt financial services

If you are not authorised by the FSA, as a solicitor you are still entitled to carry out exempt regulated activities under the regulation of the SRA, as part of the Designated Professional Body regime. You must include a disclosure in your terms and conditions which clearly states your regulatory status.

You must tell you client in writing in a manner which is clear, fair and not misleading that:

you are not authorised under the Financial Services and Markets Act nor are you regulated by the FSA,
the nature of the exempt regulated activities you will be carrying out and that they are limited in scope
that you are regulated by the Law Society as the designated professional body, while outlining the role of the Solicitor's Regulation Authority and the Legal Complaints Service

If the exempt regulated activities involve insurance mediation activity, there is a separate paragraph which must be included - see section 4.5.2 below.

For further information on exempt regulated activities see the FSA handbook.

For example:

We are not authorised by the Financial Services Authority. If, while we are acting for you, you need advice on investments, we may have to refer you to someone who is authorised to provide the necessary advice.
However, we may provide certain limited investment advice services where these are closely linked to the legal work we are doing for you. This is because we are members of the Law Society of England and Wales , which is a designated professional body for the purposes of the Financial Services and Markets Act 2000.
The Solicitors Regulations Authority is the independent regulatory arm of the Law Society. The Legal Complaints Service is the independent complaints-handling arm of the Law Society. If you are unhappy with any investment advice you receive from us, you should raise your concerns with either of those bodies.

4.5.2 Providing exempt insurance mediation

You must register with the Financial Service Authority's Exempt Professional Firm's register to engage in insurance mediation work.

Insurance mediation work includes advising on and/or arranging an insurance policy. Common examples include advising on and/or arranging defective title indemnity insurance in conveyancing matters, or after-the-event insurance in litigation.

If you carry out any insurance mediation activities, you must advise the client in writing in a manner which is clear, fair and not misleading, what your regulated status is.

The FSA provides that the following statement must be included in your terms and conditions:

We are not authorised by the Financial Services Authority. However, we are included on the register maintained by the Financial Services Authority so that we may carry on insurance mediation activity, which is broadly the advising on, selling and administration of insurance contracts. This part of our business, including arrangements for complaints or redress if something goes wrong, is regulated by the Solicitors Regulation Authority. The register can be accessed via the Financial Services website at www.fsa.gov.uk/register.

The Law Society of England and Wales is a designated professional body for the purposes of the Financial Services and Markets Act 2000. The Solicitors Regulation Authority is the independent regulatory arm of the Law Society. The Legal Complaints Service is the independent complaints-handling arm of the Law Society. If you are unhappy with any insurance advice you receive from us, you should raise your concerns with either of those bodies.

5. More Information

5.1 Professional conduct

The following sections of the Solicitors' Code of Conduct 2007 (code of conduct) are relevant to the information which has to be provided in writing to the client at the outset of the retainer:

5.2 Further products and services

5.2.1 Law Society

Practice Advice Service
Practice Advice Service costs booklets
Training - regular programmes on client care and complaints management
Lexcel - our practice management standard, awarded only to practices meeting the highest management and client care standards
Law Management Section - join for support and training
Law Society publications - order from our bookshop
- Practice Management Handbook
- Companion to the Solicitors' Code of Conduct 2007
- The Solicitor's Handbook
- Lexcel Office Procedures Manual
- Excellent Client Service

5.2.2 Other

Solicitors Regulation Authority's Professional Ethics Helpline for advice on conduct issues
The Law Society runs Lawyerline, a telephone helpline which provides solicitors with advice on client care and complaints handling. Call 0870 606 2588. Opening hours: 09:00 to 17:00, Monday to Friday.
E-mail: lawyerline@lawsociety.org.uk.

5.3 Status of this practice note

Practice notes are issued by the Law Society for the use and benefit of its members. They represent the Law Society's view of good practice in a particular area. They are not intended to be the only standard of good practice that solicitors can follow. You are not required to follow them, but doing so will make it easier to account to oversight bodies for your actions.

Practice notes are not legal advice, nor do they necessarily provide a defence to complaints of misconduct or of inadequate professional service. While care has been taken to ensure that they are accurate, up to date and useful, the Law Society will not accept any legal liability in relation to them.

The examples in this practice note are not the only way of meeting Rule 2 of the code of conduct, and we recognise that many practices have already considered this issue in detail and implemented bespoke templates.

For queries or comments on this practice note, contact the Law Society's Practice Advice Service.

5.4 Terminology

Must - a specific requirement in the Solicitors' Code of Conduct or legislation. You must comply, unless there are specific exemptions or defences provided for in the code of conduct or relevant legislation.

Should - good practice for most situations in the Law Society's view. If you do not follow this, you should be able to justify to oversight bodies why the alternative approach you have taken is appropriate, either for your practice, or in the particular retainer.

May - a non-exhaustive list of options for meeting your obligations. Which option you choose is determined by the risk profile of the individual practice, client or retainer. You must be able to justify why this was an appropriate option to oversight bodies.

6. Amendments

This note has been amended from the previous version dated 19 May 2009. Changes are as follows:

Section 3.5

Court assessment - a new paragraph has been added explaining the requirement to inform clients of their right to have a Bill assessed by the Court.
Other points - a new paragraph has been added explaining the requirement to provide a client with information about charging interest on the bill.

Section 3.6

Complaints - updated to reflect changes to the information you need to provide clients, including an update example of the text you may wish to include in a client care letter.

Section 4.1

Professional indemnity insurance - a new paragraph added regarding the information clients should be given about your insurance provider.
Other requirements - a new paragraph added regarding providing clients with your VAT number.

In advice

Latest Version

19 September 2011

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