SRA - archived rules

Warning

This page applies to conduct issues occurring before 1 July 2007. For rules governing conduct after 1 July 2007, see rules.sra.org.uk.

The Professional Ethics Guidance Team provides confidential guidance to help solicitors comply with their professional obligations.

You may find the information you require in

We also have various downloadable booklets covering the following areas:

Regulations and guidance for running a practice
Professional indemnity
Foreign lawyers and solicitors practising abroad
Guidance on particular areas of practice

If you prefer, you may browse an A-Z list of these documents.

Solicitors Practice Rules and associated rules and codes

Solicitors’ Practice Rules 1990 (PDF, 222KB)

The Solicitors’ Practice Rules are the principal set of rules governing the practice of a solicitor in England and Wales. They were last amended in June 2006. (For solicitors practising outside of England and Wales, please see the Solicitors Overseas Practice Rules 1990 (PDF, 119KB).)
Conflicts of interest and the duties of confidentiality and disclosure
New rules which form part of the Solicitors Practice Rules 1990 are now in force which deal with conflict, confidentiality and disclosure. Rule 16D (conflicts of interest) (PDF, 44K) replaces chapter 15 of the Guide and Rule 16E (duties of confidentiality and disclosure) (PDF, 40KB) replaces chapter 16. These rules bring important changes and should be read in conjunction with the comprehensive guidance which accompanies (but does not form part of) them.

You will also find additional information and guidance in Practice Rules 16D&16E - Questions, answers and examples (PDF, 173KB).
Solicitors’ Publicity Code 2001 (PDF, 51KB)
Information on the regulation of publicity for solicitors, Registered European Lawyers, recognised bodies and Registered Foreign Lawyers.
Solicitors’ Introduction and Referral Code 1990 (PDF, 54KB)
Code governing referrals to and by solicitors. See also additional guidance Disclosure of funding, fee sharing and referral arrangements (PDF, 160KB) issued in March 2004 and further Referral Fees guidance issued by the Law Society's Rules & Ethics Committee on 21 December 2005.
Employed Solicitors Code 1990 (PDF, 54KB)
For solicitors employed by non-solicitor employers. Covers the principles to be followed, and the conditions which apply, when an employed solicitor: chooses an advocate, exercises any extended right of audience under one of the Law Society’s higher courts qualifications, or, as part of his or her employment, acts for a person other than the employer. Last amended June 2006.
Solicitors’ Separate Business Code 1994 (PDF, 61KB)
Rules governing solicitors who carry on a business which is separate from their legal practice.
Solicitors’ Costs Information and Client Care Code 1999 (PDF, 59KB)
Regulates the English and Welsh practices of solicitors, registered European lawyers, registered foreign lawyers and recognised bodies in giving information to clients and operating complaints procedures. Last updated June 2006.
The Law Society’s Code for Advocacy (PDF, 58KB)
Regulates advocacy in England and Wales by solicitors and registered European lawyers.
Solicitors’ Anti-Discrimination Rule 2004 and model anti-discrimination policy
This deals with the need for a solicitor to practice in an equal and diverse manner and to avoid instances of discrimination in relation to employees, clients, other solicitors and third parties.
Former version of rule 13, Solicitors’ Practice Rules 1990 (PDF, 26KB)
Although this version of the rule relating to the management and supervision of an office was repealed in 1999, it continues to be relevant in so far as the transitional provisions which it contains are concerned.
Council of the Bars and Law Societies of the European Union (CCBE) Code of Conduct (relevant extracts) (PDF, 69KB)
The CCBE is the Council of the Bars and Law Societies of the European Union and their code is relevant, inter alia, in issues relating to cross-border activities.
Pro bono work and charitable fee sharing
The Society and the profession have embraced the concept of pro bono work for many years. New rules are now in force which facilitate charitable fee sharing by solicitors.

Optionally, download a printable booklet containing all the Practice Rules and associated rules and codes (PDF, 478KB) (updated March 2007).

Regulations and guidance for running a practice

Miscellaneous Rule Changes, October 2004 (PDF, 104KB)
Miscellaneous rule changes have been made to the following rules and codes: Employed Solicitors’ Code 1990; Solicitors’ Accounts Rules 1998; Solicitors’ Compensation Fund Rules 1995; Solicitors’ Financial Services (Conduct of Business) Rules 2001; Solicitors’ Incorporated Practice Rules 2004; Solicitors’ Indemnity Insurance Rules 2004; Solicitors’ Introduction and Referral Code 1990; Solicitors’ Overseas Practice Rules 1990; Solicitors’ Practice Rules 1990; Solicitors’ Separate Business Code 1994. These changes are encapsulated in the Solicitors’ Practice, Accounts and Indemnity Insurance (Miscellaneous Amendments) Rules 2004 and came into force in October 2004.

Financial Services and Solicitors
The Financial Services Authority’s regulation of mortgages and long-term care insurance contracts will commence on 31 October 2004, and regulation of general insurance contracts will commence on 14 January 2005. The Law Society (as a designated professional body) has amended its rules to take account of the new regulated activities. The Solicitors’ Financial Services (Insurance and Mortgages) Amendment Rules 2004 were made on 8 June 2004. The resulting amended versions of the Solicitors’ Financial Services (Scope) Rules 2001 and the Solicitors’ Financial Services (Conduct of Business) Rules 2001 are attached, together with the Amendment Rule itself.

Do I need a practising certificate?
Contains advice for admitted solicitors on the need for a practising certificate, and answers some questions frequently asked by solicitors about practising certificates.

Solicitors’ Accounts Rules 1998 (PDF, 511KB)
Complete text of the rules for dealing with clients’ accounts, updated 25 October 2006. An accessible version of the flowchart in Appendix 1 "Effect of Solicitors’ Accounts Rules" (PDF, 84KB) is also available.

Recognised bodies: limited liability partnerships (PDF, 187KB)
This booklet is about how to incorporate all or part of your practice as a limited liability partnership. A separate booklet for incorporating a practice as a company is available below, or in printed format from the Professional Ethics department on 0870 606 2577.

Recognised bodies: companies (PDF, 290KB)
This booklet is about how to incorporate all or part of your practice as a company. A separate booklet for incorporating a practice as a limited liability partnership is available above, or in printed format from the Professional Ethics department on 0870 606 2577.

Training requirement of Practice Rule 13 (PDF, 36KB)
One of the requirements of practice rule 13 is that every practice has a solicitor who is 'qualified to supervise'. This document covers the types of training that the Law Society considers appropriate to qualify a solicitor to supervise.

Sole practitioners - protecting your practice in emergencies (PDF, 50KB)
Ever wondered what would happen to your practice should you become mentally or physically incapable, or died suddenly? This document contains recommendations on making contingency plans for the worst.

Sole practitioners - supervising of offices (PDF, 48KB)
Risk management for sole practitioners - produced in conjunction with the Sole Practitioners Group.

Ownership, storage and destruction of documents (PDF, 34KB)
Guidance as to the ownership of clients’ files and when documents should be destroyed.

Setting up in practice
Guidance on what solicitors need to do, and be aware of, when setting up in practice.

Retiring from Practice (PDF, 64KB)
Deals with a range of issues to be borne in mind by those retiring from practice, both where the practice is winding up and where the practice is continuing.

Note on taking costs (PDF, 36KB)
Discusses when it is appropriate to take costs where there are two matters ongoing for the same client.

Professional indemnity

Current rules
Indemnity rules and indemnity insurance rules for 2003, and the new rules coming into force on 1 October 2004.

Previous years’ rules
Indemnity rules and indemnity insurance rules from 1999 to 2001.

Foreign lawyers and solicitors practising abroad

Rule changes relating to Scotland and Northern Ireland
Rule changes came into force on 12 January 2007 which resolve some anomalies relating to Scotland and Northern Ireland.

CCBE Code of Conduct - 2006 revision
The Solicitors' (Cross-Border Activities) Amendment Rule 2007 brought the revised provisions into force for solicitors on 12 January 2007.

Registered European lawyers and the Establishment Directive (PDF, 479KB)
Information pack explaining how to become a REL – and the obligations that arise from being one.

Registered foreign lawyers and multi-national legal practice (PDF, 538KB)
Information pack about multi-national partnerships and regulations affecting registered foreign lawyers.

Solicitors’ Overseas Practice Rules (PDF, 119KB)
These govern solicitors' practice from offices outside England and Wales, and the practice of registered European lawyers from offices in Scotland and Northern Ireland. A number of further requirements which apply to overseas practice (PDF, 51KB) must also be considered, including the CCBE Code of Conduct (relevant extracts) (PDF, 69KB) and the International Code of Ethics of the IBA (PDF, 54KB). The Law Society has also issued its best practice guidelines for solicitors opening offices overseas (PDF, 43KB). Also see the Protocol on cross-border practice (PDF, 47KB).

US limited liability partnerships (PDF, 41KB)
Deals with English solicitors who are partners in a US LLP and their need to comply with accounting obligations.

Guidance on particular areas of practice

Disability Discrimination Act - an essential guide for solicitors (PDF, 222KB)
Provides guidance on the implementation of the Disability Discrimination Act 1995 in your practice.

Delivering Diversity and Equality - a handbook for solicitors (PDF, 404KB)
General guidance on the implementation of equality and diversity in your practice.

Acting for both lender and borrower – non-commercial transactions (PDF, 60KB)
Guidance on the new version of practice rule 6(3), which sets out the type of mortgage instructions that may be given when a solicitor is acting for both a lender and a borrower.

Complaints about mortgage endowments (PDF, 35KB)
Guidance on what to do if a client contacts you saying they were incorrectly advised to take out an endowment mortgage.

Enduring powers of attorney (EPA) (PDF, 80KB)
Guidelines for solicitors advising clients who wish to draw up an EPA.

Hiving off – the options (PDF, 63KB)
Guidance on the various ways in which solicitors can provide financial services.