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Compliance , Ethics | Online course

SRA Principles and SRA Codes of Conduct for Firm Managers

1hr 45minFoundation

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 body

In 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. 

Who this is for

Solicitors.

Learning outcomes

SRA competence: A1  +1 more for SRA competence: A1, A2

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

How you will learn

Course format
This interactive online training consists of the following elements.

  • An interactive course presentation, with a variety of quizzes and practice scenarios to test understanding of the material.
  • Online assessment.

Our modules conform to Web Content Accessibility Guidelines 2.1. However, some members may require an alternative version for accessibility purposes. This is available upon request via our contact us form.

Assessment
In order to pass the assessment you must achieve a mark of 80%.

The quizzes and scenarios included in the course presentation are intended to aid your understanding of the content and offer the opportunity to apply your knowledge. They do not form part of the assessment.

Length
The course will take approximately 1 hour 45 minutes to complete, excluding assessment.