Outcomes-focused regulation
The pace at which outcomes-focused regulation is being introduced is growing. But what does it involve and what will be the implications for practitioners?
Introduction to the draft SRA Code of Conduct
As part of the process for moving towards outcomes-based regulation, the SRA has produced a draft of a new Handbook which will
bring together the rules and regulations which affect the practice of solicitors and (it is hoped) ABS.
Mandatory Principles
There are ten mandatory principles which apply to all of the firms and individuals regulated by the SRA. They apply whatever the structure of the practice and whether the practitioner is in private practice, in-house practice or practising overseas.
Chapter 1 – Client care
Outcomes focused regulation is all about concentrating on what the client needs and so it is appropriate that the first chapter of the CoC should deal with client care.
Chapter 2 – Your client and equality and diversity
Chapter 2 of the SRA Code of Conduct looks at the promotion of equality and diversity and the prevention of unlawful discrimination
Chapter 4 – Confidentiality and disclosure
This chapter contains the provisions relating to confidentiality and disclosure and which are substantially simpler than those to be found in the current rule 4.
Chapter 5 – Your client and the court
This chapter is about duties to aclient and to the court if a firm or lawyer is exercising a right to conduct litigation or acting as an advocate.
Chapter 6 – Your client and introductions to third parties
Chapter 6 of the SRA’s draft Code of Conduct deals principally with a small part of those issues currently found in rule 9 (Referrals of business) of the Solicitors’ Code of Conduct 2007 (SCC), specifically dealing with the situation where a solicitor refers a client to a third party (as opposed to where a client is referred to a solicitor by a third party.
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