SRA Handbook

Application of the SRA Principles in England and Wales

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Version 3 of the Handbook was published on 20/04/2012. For more information, please click 'History' Above

3: Application of the SRA Principles in England and Wales

3.1

Subject to paragraphs 3.2 to 6.1 below and any other provisions in the SRA Code of Conduct, the Principles apply to you, in relation to your activities carried out from an office in England and Wales, if you are:

(a)

a solicitor, REL or RFL who is practising as such, whether or not the entity through which you practise is subject to these Principles;

(b)

a solicitor, REL or RFL who is:

(i)

a manager, employee or owner of a body which should be a recognised body, but has not been recognised by the SRA;

(ii)

a manager, employee or owner of a body that is a manager or owner of a body that should be a recognised body, but has not been recognised by the SRA;

(iii)

an employee of a sole practitioner which should be a recognised sole practitioner, but has not been recognised by the SRA;

(iv)

an owner of an authorised body or of a body which should be a recognised body but has not been recognised by the SRA, even if you undertake no work for the body's clients;

(v)

a manager or employee of an authorised non-SRA firm, or a manager of a body which is a manager of an authorised non-SRA firm, when doing work of a sort authorised by the SRA, for that firm;

(c)

an authorised body, or a body which should be a recognised body but has not been recognised by the SRA;

(d)

any other person who is a manager, or employee of an authorised body, or of a body which should be a recognised body but has not been recognised by the SRA;

(e)

any other person who is an employee of a recognised sole practitioner, or of a sole practitioner who should be a recognised sole practitioner but has not been recognised by the SRA;

and "you" includes "your" as appropriate.

3.2

The Principles apply to you if you are a solicitor, REL or RFL, and you are:

(a)

practising as a manager or employee of an authorised non-SRA firm when doing work of a sort authorised by the authorised non-SRA firm's approved regulator, or

(b)

an owner of an authorised non-SRA firm even if you undertake no work for the body's clients.