Solicitors Publicity Rules, 1990 (UK)

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<p>This document applies to conduct issues occurring before 1 July 2007. For rules governing conduct after 1 July 2007, see www.rules.sra.org.uk.</p> <p>Solicitors Practice Rules 1990Professional EthicsLast amended 12 January 2007 Contents: Solicitors Practice Rules 1990 .................................................................................1Rule A (Scope of the rules)................................................................................................. 3 Rule 1 (Basic principles)..................................................................................................... 3 Rule 2 (Publicity).................................................................................................................. 4 Rule 3 (Introductions and referrals)................................................................................... 4 Rule 4 (Employed solicitors) .............................................................................................. 4 Rule 5 (Providing services other than as a solicitor)....................................................... 6 Rule 6 (Avoiding conflicts of interest in conveyancing, property selling and mortgage related services) .................................................................................................................. 6 (1) (General)........................................................................................................................ 6 (2) (Solicitor acting for seller and buyer) ............................................................................. 8 (3) (Solicitor acting for lender and borrower)....................................................................... 9 Rule 6A (Seller's solicitor dealing with more than one prospective buyer) ................ 19 Rule 7 (Fee sharing, partnership and corporate practice) ............................................ 21 (1) (Fee sharing the general rule).................................................................................... 21 (1A) (Fee sharing exception for introducing capital or providing services) ..................... 21 (2) (Fee sharing exception for solicitor property sellers sub-agent) ............................... 22 (3) (Fee sharing exception for employed solicitors) ........................................................ 22 (4) (Fee sharing exception for voluntary work) ............................................................... 22 (5) (Fee sharing exception for retired or deceased director, shareowner or member)...... 23 (6) (Partnership)................................................................................................................ 23 (7) (Corporate practice)..................................................................................................... 24 Rule 8 (Contingency fees) ................................................................................................ 24 Rule 9 (Claims assessors) ................................................................................................ 24 Rule 10 (Receipt of commissions from third parties) .................................................... 24 Rule 11 ................................................................................................................................ 25 Rule 12 (Investment business)......................................................................................... 25 Rule 13 (Supervision and management of a practice)................................................... 26 Rule 14 (Structural surveys and formal valuations) ...................................................... 30 Rule 15 (Costs information and client care) ................................................................... 30 Rule 16 (European cross-border activities) .................................................................... 31 Rule 16A (Solicitors acting as advocates) ...................................................................... 32 Rule 16B (Choice of advocate)......................................................................................... 32 Rule 16C (Powers of the Law Society) ............................................................................ 3201/03/2007 Page 1 of 42 The Law Society 2007</p> <p>For alternative formats, e-mail info.services@sra.org.uk or telephone 0870 606 6575.</p> <p>This document applies to conduct issues occurring before 1 July 2007. For rules governing conduct after 1 July 2007, see www.rules.sra.org.uk.Rule 16D (Conflict of interests) ........................................................................................ 33 (1) (Introduction)............................................................................................................... 33 (2) (Duty not to act) ........................................................................................................... 33 (3) (Exceptions to duty not to act) ..................................................................................... 34 (4) (Conflict when already acting)...................................................................................... 34 (5) (Accepting gifts from clients) ....................................................................................... 35 (6) (Public office or appointment leading to conflict) ......................................................... 35 (7) (Waivers) ..................................................................................................................... 35 Rule 16E (Confidentiality and disclosure) ...................................................................... 35 (1) (Introduction)............................................................................................................... 35 (2) (Duty of confidentiality)................................................................................................ 35 (3) (Duty of disclosure) ..................................................................................................... 36 (4) (Duty not to put confidentiality at risk by acting) .......................................................... 36 (5) (Exception to duty not to put confidentiality at risk by acting where clients consent) 36 (6) (Exception to duty not to put confidentiality at risk by acting where no clients consent) ......................................................................................................................................... 37 (7) (Waivers) ..................................................................................................................... 37 Rule 17 (Waivers)............................................................................................................... 37 Rule 18 (Application and interpretation) ......................................................................... 37 (1) (Application to foreign lawyers) ................................................................................... 37 (2) (Interpretation)............................................................................................................. 41 Rule 19 (Repeal and commencement)............................................................................. 42</p> <p>01/03/2007</p> <p>Page 2 of 42</p> <p> The Law Society 2007</p> <p>This document applies to conduct issues occurring before 1 July 2007. For rules governing conduct after 1 July 2007, see www.rules.sra.org.uk.</p> <p>Solicitors Practice Rules 1990Last amended 12 January 2007Rules dated 18th July 1990 made by the Council of the Law Society, with the concurrence of the Master of the Rolls under section 31 of the Solicitors Act 1974 and section 9 of the Administration of Justice Act 1985 and the approval of the Lord Chancellor under Part II of Schedule 4 to the Courts and Legal Services Act 1990, regulating the English and Welsh practices of solicitors, registered European lawyers, registered foreign lawyers and recognised bodies; and, in respect of Rule 12 only, regulating: the practices of solicitors and recognised bodies in any part of the world; the practices of registered European lawyers in any part of the United Kingdom; and the practices of registered foreign lawyers in England and Wales; in the conduct of investment business in, into or from the United Kingdom.</p> <p>Rule A (Scope of the rules)(1) These rules apply to all forms of practice of a solicitor of the Supreme Court.</p> <p>(2) The rules also extend to all regulated individuals and all regulated practices see Rule 18(2) (interpretation). (3) The rules do not apply to practice from an office outside England and Wales except for Rule 12 (investment business), the geographical scope of which is set out in the rule.</p> <p>Rule 1 (Basic principles)A solicitor shall not do anything in the course of practising as a solicitor, or permit another person to do anything on his or her behalf, which compromises or impairs or is likely to compromise or impair any of the following: (a) (b) (c) (d) (e) (f) the solicitor's independence or integrity; a person's freedom to instruct a solicitor of his or her choice; the solicitor's duty to act in the best interests of the client; the good repute of the solicitor or of the solicitors profession; the solicitor's proper standard of work; the solicitor's duty to the Court.</p> <p>01/03/2007</p> <p>Page 3 of 42</p> <p> The Law Society 2007</p> <p>This document applies to conduct issues occurring before 1 July 2007. For rules governing conduct after 1 July 2007, see www.rules.sra.org.uk.</p> <p>Rule 2 (Publicity)Solicitors may at their discretion publicise their practices, or permit other persons to do so, or publicise the businesses or activities of other persons, provided there is no breach of these rules and provided there is compliance with a Solicitors' Publicity Code promulgated from time to time by the Council of the Law Society with the concurrence of the Master of the Rolls.</p> <p>Rule 3 (Introductions and referrals)[See also guidance Disclosure of funding, fee sharing and referral arrangements issued in March 2004 and Referral fees Guidance issued on 21 December 2005.]</p> <p>Solicitors may accept introductions and referrals of business from other persons and may make introductions and refer business to other persons, provided there is no breach of these rules and provided there is compliance with a Solicitors' Introduction and Referral Code promulgated from time to time by the Council of the Law Society with the concurrence of the Master of the Rolls.</p> <p>NoteArticle 5.4 of the CCBE Code prohibits the payment of referral fees in a solicitors European cross-border activities (see Rule 16). It is therefore prohibited for solicitors to pay referral fees to a non-lawyer introducer situated in a CCBE state other than the UK. Article 5.4 does not prevent fee-sharing arrangements between lawyers on a proper basis.</p> <p>Rule 4 (Employed solicitors)(1) (a) Solicitors who are employees of non-solicitors shall not as part of their employment do for any person other than their employer work which is or could be done by a solicitor acting as such, save as permitted by an Employed Solicitors Code promulgated from time to time by the Council of the Law Society with the concurrence of the Master of the Rolls. In sub-paragraph (a) above, employee includes a solicitor of the Supreme Court or registered European lawyer practising in house as the director of a company which is not a recognised body, and employer and employment shall be construed accordingly. Solicitors who are employees of: (i) (ii) (iii) a registered European lawyer practising as sole principal; a lawyers partnership which includes a solicitor of the Supreme Court, registered European lawyer or recognised body; or a recognised body;</p> <p>(b)</p> <p>(c)</p> <p>are not employees of non-solicitors for the purpose of this rule, and are therefore not subject to paragraph (1) of the rule. (2) (a) Solicitors of the Supreme Court or registered European lawyers who are employees of a registered European lawyer practising as sole principal shall not draw or prepare any instrument or papers, or make any application or lodge any document, relating to the conveyancing of landPage 4 of 42 The Law Society 2007</p> <p>01/03/2007</p> <p>This document applies to conduct issues occurring before 1 July 2007. For rules governing conduct after 1 July 2007, see www.rules.sra.org.uk.or the administration of estates, which is reserved to qualified persons by the Solicitors Act 1974, or supervise or assume responsibility for any such work, unless the principal is a registered European lawyer qualified to do the work under regulation 12 or 13 of the European Communities (Lawyers Practice) Regulations 2000. (b) Solicitors of the Supreme Court or registered European lawyers who are employees of a regulated practice which is a partnership all of whose members are foreign lawyers and/or European lawyers recognised bodies shall not do or supervise or assume responsibility for any of the work referred to in paragraph (2)(a) of this rule unless the partnership has at least one member who or which is (i) a registered European lawyer qualified to do the work under regulation 12 or 13 of the European Communities (Lawyers Practice) Regulations 2000; or a company (a recognised body) with a director who is such a person; or a limited liability partnership (a recognised body) with a member who is such a person.</p> <p>(ii) (iii) (c)</p> <p>Registered European lawyers who are directors of a European lawyers recognised body which is a company, or solicitors of the Supreme Court or registered European lawyers who are employees of such a company, shall not do or supervise or assume responsibility for any of the work referred to in paragraph (2)(a) of this rule unless the company has at least one director who is a registered European lawyer qualified to do the work under regulation 12 or 13 of the European Communities (Lawyers Practice) Regulations 2000. Registered European lawyers who are members of a European lawyers recognised body which is a limited liability partnership, or solicitors of the Supreme Court or registered European lawyers who are employees of such a limited liability partnership, shall not do or supervise or assume responsibility for any of the work referred to in paragraph (2)(a) of this rule unless the limited liability partnership has at least one member who or which is: (i) a registered European lawyer qualified to do the work under regulation 12 or 13 of the European Communities (Lawyers Practice) Regulations 2000; or a company (a recognised body) with a director who is such a person; or another limited liability partnership (a recognised body) with a member who is such a person.</p> <p>(d)</p> <p>(ii) (iii) (e)</p> <p>In sub-paragraphs (b) to (d) above, European lawyers recognised body means: (i) (ii) a recognised body which is a company and which has no director who is a solicitor of the Supreme Court; or a recognised body which is a limited liability partnership and has...</p>