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SRA Principles and SRA Codes of Conduct for Firm Managers

Course Description

Overview

  • 1hr 45min
  • Foundation
The SRA’s Standards and Regulations set out the high standards expected of all those working in SRA-authorised firms. Failure to meet these standards may mean regulatory action against the firm itself, or its managers or compliance officers, who have responsibilities for ensuring that the standards and requirements are met. It may also take action against employees, regardless of whether or not they are solicitors.

With a dedicated module on compliance and business systems, this course is designed to provide guidance on regulatory and ethical duties to you as a manager in an SRA-authorised law firm, in addition to your duties as an employee, whether you are a solicitor or non-solicitor. It covers both the SRA Code of Conduct for Solicitors, RELs and REFLs and the SRA Code of Conduct for Firms.  The SRA uses the term “manager” to describe: • The sole principal in a recognised sole practice • A member of an LLP • A director of a company • A partner in a partnership • In relation to any other SRA-authorised body, a member of its governing bodyIn short, easy-to-understand modules, you’ll cover everything you need to understand and apply the regulatory and ethical duties which apply to you as an employee and as a manager of an SRA-authorised law firm, in order to demonstrate compliance in practice. 

Learning outcomes

After completing this course, you will be able to:

  • Identify regulatory expectations which apply to you as a solicitor or non-solicitor, and also as a manager of an SRA-authorised law firm.
  • Apply regulatory and ethical standards to your individual situation as a solicitor or non-solicitor, and also as a manager of an SRA-authorised law firm.
  • Understand how to respond to regulatory expectations about compliance and business systems.
  • Apply regulatory and ethical standards in an appropriate way that suits your firm’s specific situation.
  • Demonstrate compliance in practice in your SRA-authorised law firm.

What this will cover

This course consists of seven modules.

1. Professional Duties and the SRA Principles
2. Basic Ethical Behaviours
3. Providing a Proper Client Service and Other Client Duties
4. Conflicts and Confidentiality
5. Referrals, Introductions, Separate Businesses and Other Business Requirements
6. Co-operation, Accountability and Enforcement
7. Compliance and Business Systems

Module 1: Professional Duties and the SRA Principles (15 min)

E-learning

In this module, we provide an overview of the SRA Standards and Regulations, and training and guidance is given on the SRA Principles.

Module 2: Basic Ethical Behaviours (20 min)

E-learning

In this module, training and guidance is given on the standards in the SRA Code of Conduct for Solicitors, Registered European Lawyers (RELs) and Registered Foreign Lawyers (RFLs) and the SRA Code of Conduct for Firms relevant to basic ethical behaviours relating to maintaining trust and acting fairly and dispute resolution and proceedings before courts, tribunals and inquiries. (Chapters 1 and 2 of the Code for Solicitors, repeated in the Code for Firms at Chapters 1 and 7)

Module 3: Providing a Proper Client Service and Other Client Duties (25 min)

E-learning

In this module, training and guidance is given on Chapters 3, 4 and 8 of the SRA Code of Conduct for Solicitors, Registered European Lawyers (RELs) and Registered Foreign Lawyers (RFLs) – the sections that are relevant to providing a proper client service and the other duties you owe your clients. These duties are repeated in SRA Code of Conduct for Firms in Chapters 4, 5 and 7.

Module 4: Conflicts and Confidentiality (20 min)

E-learning

In this module, training and guidance is given on Chapter 6 of the SRA Code of Conduct for Solicitors, Registered European Lawyers (RELs) and Registered Foreign Lawyers (RFLs) and Chapter 6 of the SRA Code of Conduct for Firms, which contain the standards that are relevant to conflicts of interest and the confidentiality and disclosure duties you and your firm owe your clients.

Module 5: Referrals, Introductions, Separate Businesses and Other Business Requirements (10 min)

E-learning

In this module, training and guidance is given on Chapter 5 of the SRA Code of Conduct for Solicitors, Registered European Lawyers (RELs) and Registered Foreign Lawyers (RFLs) (repeated in Chapter 7 of the SRA Code of Conduct for Firms), which contains the standards relevant to business requirements.

Module 6: Co-operation, Accountability and Enforcement (5 min)

E-learning

In this module, training and guidance is given on Chapter 7 of the SRA Code of Conduct for Solicitors, Registered European Lawyers (RELs) and Registered Foreign Lawyers (RFLs) (repeated at Chapter 3 of the SRA Code of Conduct for Firms), which contains the standards relevant to co-operation with the SRA.

Module 7: Compliance and Business Systems (15 min)

E-learning

In this module, training and guidance is given on Chapter 2 of the Code of Conduct for Firms, which contains the standards relevant to the management of the authorised firm and the establishment of compliance and business systems.

Assessment (complete e-learning to unlock)

Exam

The assessment consists of 20 questions. In order to pass the assessment you must achieve a mark of 80%. The assessment can only be taken a maximum of three times before the course must be taken again.