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The Solicitor's Handbook 2019

Gregory Treverton-Jones, Nigel Heley Susannah West, Robert Forman

ISBN13: 9781784461010
New Edition ISBN: 9781784461706
Previous Edition ISBN: 9781784460556
Published: October 2019
Publisher: Law Society Publishing
Country of Publication: UK
Format: Paperback
Price: Out of print





The Solicitor’s Handbook is a comprehensive guide to the regulations governing the conduct of solicitors. The 2019 edition has been updated to take account of all the key regulatory developments which have taken place since the publication of the 2017 edition, and in particular the major changes that are being introduced in SRA Standards & Regulations.

This user-friendly guide covers:

  • the regulatory and disciplinary landscape
  • the regulation and authorisation of business
  • the SRA Principles and the SRA Code of Conduct
  • the SRA Accounts Rules
  • data protection
  • the regulatory system in practice
  • fraud and money laundering, and
  • the regulation of Alternative Business Structures (ABSs)

    • Subjects:
    Professional Conduct and Ethics
    Contents:
    Part 1: Overview
    1. The regulatory and disciplinary landscape 3
    2. The regulation and authorisation of business entities 7
    Part 2: The SRA Principles and Codes
    3. Overview of the Principles and the Codes 27
    4. The SRA Code of Conduct for Solicitors, RELs and RFLs 35
    5. The SRA Code of Conduct for Firms 00
    Part 3: Other rules
    6. The SRA Accounts Rules 2019 123
    7. Compliance officers (COLPs and COFAs) 137
    8. Financial services regulation 149
    9. Property selling 163
    10. Overseas and European cross-border practice 167
    11. Professional indemnity insurance 171
    12. Registered European lawyers and registered foreign lawyers 181
    13. Regulation by other approved regulators 185
    Part 4: The regulatory system in practice
    14. The Legal Ombudsman 193
    15. SRA investigations 207
    16. Practising certificate controls and removal of a solicitor’s name from the Roll 219
    17. Intervention and orderly closure 233
    18. Control of solicitors’ employees 251
    Part 5: The disciplinary system in practice
    19. Professional misconduct, its forms and formulation 259
    20. SRA-imposed sanctions 263
    21. Proceedings before the SDT: (1) pre-trial 271
    22. Proceedings before the SDT: (2) trial, sanctions, costs and appeals
    23. Proceedings before the SDT: (3) appeals to the Tribunal 319
    24. Disciplinary jurisdiction of the High Court 333
    Part 6: The regulation of ABSs
    25. Alternative business structures: getting started 339
    26. Alternative business structures: discipline and enforcement 343
    Part 7: Fraud and money laundering
    27. The risks of fraud 353
    28. Money laundering 365
    Part 8: Appendices