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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