Must - A specific requirement in legislation or of a principle, rule, outcome or other mandatory provision in the SRA Handbook. You must comply, unless there are specific exemptions or defences provided for in relevant legislation or the SRA Handbook.
Should - Outside of a regulatory context, good practice for most situations in the Law Society's view. In the case of the SRA Handbook, an indicative behaviour or other
non-mandatory provision (such as may be set out in notes or guidance).
These may not be the only means of complying with legislative or regulatory requirements and there may be situations where the suggested route is not the best possible route to meet the needs of your client. However, if you do not follow the suggested route, 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 or
running your practice. Which option you choose is determined by the profile of the individual practice, client or retainer. You may be required to justify why this was an appropriate option to oversight bodies.
SRA Code - SRA Code of Conduct 2011
2007 Code - Solicitors' Code of Conduct 2007
OFR - Outcomes-focused regulation
SRA - Solicitors Regulation Authority
CPD - Continuing Professional Development
Manager - The SRA Code defines manager as:
- a member of an LLP
- a director of a company
- a partner in a partnership, or
- in relation to any other body, a member of its governing body
Lawyer - The SRA Code defines lawyer as a member of one of the following professions, entitled to practise as such:
- the profession of solicitor, barrister or advocate of the UK
- a profession whose members are authorised to carry on legal activities by an approved regulator other than the SRA
- an Establishment Directive profession other than a UK profession
- a legal profession which has been approved by the SRA for the purpose of recognised bodies in England and Wales, and
- any other regulated legal profession specified by the SRA for the purpose of this definition
Supervisor - A person responsible for the supervision of another person (whether a paralegal, trainee or qualified lawyer). This includes not just those with ongoing responsibility for the supervision of an individual (eg a trainee supervisor), but also any person who has delegated responsibility for a piece of work - or a particular part of it - to another person, or who has undertaken responsibility for supervision of a particular matter.
Training principal - A partner, manager, director, owner, or someone of equivalent seniority and/or managerial status who meets the requirements of the SRA, as outlined in the Training Regulations 2011 Part 2 - Training Provider Regulations, and who is nominated by a training establishment to comply with Regulation 15 and take overall responsibility for the training of trainees during the training contract period.
The Law Society also provides a full glossary of other terms used throughout this practice note