Solicitors Code of Conduct Rules 7, 8 and 9

Misleading

Inaccurate

(Rule 7.01)

By making unsolicited approaches in person/by telephone to a member of the public

Rule 7.02(1)

• - Current or former clients
• -Another firm or its manager
• - An existing or potential professional or business connection
• -A commercial organisation or public body

Rule 7.02(2)

• - Rule 7 (and 15.07)
• -Rules about lawyer's publicity in that country

NB: If it is accidentally received in another jurisdiction it does not breach 7.04 if it was intended for a jurisdiction where it is permitted

Yes - as long as they comply with Rule 7

Rule 7.05

• - The firm/practice
• -Any other business carried out by the firm/practice
• -Any other business or activity carried on by others

All types including: firm description, name of the firm, stationery, advertisements, brochures, websites, directory entries, media appearances, promotional press releases, direct approaches in person/writing/electronic form

Rule 7.06(2)

"regulated by the Solicitors' Regulation Authority'

AND EITHER

• - The firm's registered name and number if an LLP/Company OR
• -The name under which it is recognised by the SRA and the number allocated to it by the SRA

Rule 7.07(1)

• - Name of sole practitioner if a sole practitioner
• - Names of partners if parntership with 20 partners or fewer
• - List of partners/statement tht list is open to inspcetion at the office with more than 20 partners

Rule 7.07(2)

• - A list of the members, identified as members OR
• -A statement that the list of members is open to inspection at the office

Unless the LLP is practising under a name other than its corporate name and has <20 partners, in which case the list must be on the letterhead

Rule 7.07(d)

• - If one director, the name of the director, identified as a director
• - If more than one director a list of directors, identified as directors and a statement that a list of directors is open to inspection at the office

Rule 7.07(e)-(f)

Rule 7 Guidance note 5

No.

Take reasonable steps to have the publicity changed or withdrawn

Rule 7 Guidance note 8

• - They must not be misleading or inaccurate
• - The fee should be the gross fee
• - The estimated fee should not be pitched at an unrealistically low level
• - The fee must not refer to an estimated/fixed fee + disbursements if normal overheads are treated as disbursements
• - Fees for conveyancing which do not include the cost of mortgage work/work done for a lender unless this is made clear

Rule 7 Guidance note 11

- That this is not misleading. Make charge rates clear and anything which is said to be free must actually be free and not dependent on something else.

• a) If none of the managers are solicitors
• b) If the firm did not formerly have more than one principal

Rule 7, Guidance note 14 and 15.

• - Details of the professional body with which the firm is registered
• - Your professional title and member state where it was granted
• - A reference to the professional rules applicable to the firm in the member state where you are established and the means to acces them

Rule 7 Guidance note 17. See also note 18

Any promotional material: emails if sent with the intention of promoting your practice, name and description of the firm in business material

Rule 17 note 19

No. Your ISP/Some jurisdictions may ban this

Rule 7 note 22

EU E-Commerce Directive

Rule 7 note 26

Rule 7 and the rules in force in that jurisdiction concerning lawyer's publicity.

For a website the relevant factor is the jurisdiction at which a website is targeted.

Rule 7 notes 27 and 28

Yes. But note the data protection rules (see note 33)

Note 29

No. This includes conducting surveys or calling people who have taken part in surveys

Rule 7 note 30

This cannot be made by an unauthorised person (FSMA 2000) and constitutes financial promotion. If unauthorised, this is a criminal offence.

Rule 7 note 31 and 32

Make their status clear (a printed line is insufficient)

Rule 7 note 34

• - They must be a consultant or employee with equivalent standing to a member
• - Must be a practising lawyer and would be entitled to become a member of the LLP
• - Use explanatory words on notepaper, faxes, emails, brochures, websites and bills
• - Make a distinction between non-member partners and members where necessary

See Rule 7 notes 36-39. Equivalent guidelines on using the words partners in a company are in notes 40-42

Only if you have their permission - you owe them a duty of confidentiality

Rule 7 note 46

Yes but you must not use the word solicitor by anyone who isn't a solicitor

Rule 7 note 44

• - Practising lawyers and businesses carrying on the practice of lawyers
• - Non-lawyer managers or owners within your own firm
• - A retired manager/owner/predecessor/dependents or representatives of them
• -Your genuine employee
• - Your non-lawyer employee
• - A law centre or advice service operation by a charity or non-commercial organisation
• - An estate agent who is your sub-agent for a property
• - A charity

Rule 8.01

• - Purpose is to facilitate the intorduction of capital/other services to your firm
• - Neither the fee sharing agreement nor the extent of the fees shares permits any fee sharer to influence or constrain your professional judgement re advice given to your client
• - The operation does not result in a prohibited partnership
• - If requested by the SRA you supply all details
• - It does not involve a breach of Rule 9

Rule 8.02

Not strictly defined.

See Rule 8 note 1

Rule 1 - specifically independence and integrity. Even if permitted by Rule 8, certain aspects of the agreement may be improper

Rule 3 - Conflict of interests

Rule 9 - If it involves a referral

Rule 12 - Unauthorised partnerships

Fee sharing in return for the fee-sharer providing capital +/ services to your client (as opposed to your firm)

Rule 8, guidance note 11 and 12

Any amount in theory - but be careful of not breaching Rule 1, carry out a risk assessment.

If over 15% the SRA may ask for evidence of such a risk assessment

Rule 8 note 13

if their affairs are significantly and directly connected to it.

See Rule 8 note 14

In cross-border activities

Rule 8 note 18

Lawyers and businesses carrying on the practice of lawyers.

Rule 9.01(3)

- Do nothing which could compromise your independence/ability to act in the best interests of your client

Draw their attention to Rule 9 and (if relevant, Rule 7)

Rule 9.01(2)

People who prosecute personal injury cases - unless it is abroad.

Rule 9.01

• - Must be in writing and available for inspection by the SRA
• - Introducer must undertake to comply with Rule 9
• - Clients referred by the introducer have not been acquired as a result of marketing or publicity prohibited by Rule 7.
• - Agreement must not infringe any rules in the Code of Conduct or allow introducer to influence/constrain your professional judgement
• - The introducer must give the client all relevant information concerning the referral
• - You must tell the client this also

Rule 9.02

• - You must do so in good faith
• - You cannot enter into any agreement that would restrict your freedom to recommend any particular firm, agency or business except for regulated mortgage contracts, general insurance contracts or pure protection contracts.
• - if you refer a client to someone who can only offer products from one source you must inform the client in writing of this limitation
• - You cannot recommend anyone likely to need an endowment policy or similar life insurance + investment policy.

Rule 9.03

Normal hospitality, e.g. corporate entertainment, dinners or lunches - as long as proportionate to the relationship with a business contact/introducer.

Rule 9 note 15