Module Application
Are those in your organisation (including legal and non-legal staff) familiar with the relevant
legislation, standards, codes of conduct, principles, and authorisation requirements imposed
on solicitors and legal firms?
Do solicitors in your organisation meet the necessary qualification requirements, while
continuing to maintain their professional skills and competence?
Does your organisation have systems in place to comply with operational requirements,
including payment of fees, reporting obligations, file retention, advertising, handling of
complaints, prevention of financial crime, and financial and risk management?
Module Scope
Solicitors in England and Wales are governed by a framework of legal services and solicitors
legislation, such as the Legal Services Act 2007 and the Solicitors Act 1974, which controls
the provision of legal services and restricts the practice of certain legal activities. Solicitors
and legal firms engaging in such activities are required to obtain the necessary authorisation
from the relevant regulator, namely the Solicitors Regulation Authority (SRA).
In addition, solicitors and legal firms (including non-legal staff) are also subject to various
standards, codes of conduct and principles as laid out by the SRA and the Law Society of
England and Wales. Compliance with these requirements allow solicitors and legal firms to
demonstrate their commitment to professionalism, accountability and the rule of law, thereby
upholding the integrity of the legal profession and protecting clients’ interests.
The England and Wales Solicitors Regulation module addresses this legal and regulatory
landscape through a set of 19 core obligations and sub-obligations, concisely covering a wide
range of requirements which solicitors and legal firms must take into account, along with the
required actions and the consequences for failure to comply.
Module Scope and Application Document
The Clear Path to Compliance Solicitors Regulation 2
The core legal and regulatory obligations are based on the following considerations:
Decision making
Accountability
Stewardship
Direction
Control
An organisation is required to ensure that its staff (including, both legal and non-legal) are fully
informed and conversant with respect to their obligations and responsibilities, whether these
obligations are legal or standards-based in nature. In particular, the module aims to equip the
subscriber with the knowledge necessary to answer the following questions:
What are our legal and regulatory obligations?
What is the source of those legal and regulatory obligations?
How may we best ensure that we are complying with our legal and regulatory
obligations?
What are the consequences of non-compliance?
The following key regulatory topics form the basis of this module:
Regulatory framework and reserved legal activities
Professional structures
Professional standards
Operations of legal practice
Quality marks and accreditation
Qualifications
Admissions
Prerequisite for practice as a solicitor
Continuing competence
Mandatory practicing fees and Compensation Fund
SRA reporting and notification obligations
File retention
Advertising of legal services
Complaints and investigation
Financial management
Prevention of financial crime
Risk management
Foreign lawyers
Financial difficulty, bankruptcy and closure of practice
The England and Wales Solicitors Regulation module recognises the very serious
consequences which solicitors and legal firms are subject to in cases of obligation breach,
commensurate with the high professional and ethical standards to which they are expected to
adhere. Consequences are not limited to criminal convictions (penalties and fines), but also
include far-reaching disciplinary actions such as being struck off the roll, deregistration,
imposition of conditions, orders, rebukes and/or reprimands that may be made against a
solicitor or legal firm.
Given the wide breadth, applicability and gravity of the legal services and solicitors regulation,
we at LexisNexis appreciate the need for clarity of law and regulation in upholding legal
professional standards and the rule of law, regardless of the subscriber or user’s level of legal
Module Scope and Application Document
The Clear Path to Compliance Solicitors Regulation 3
proficiency. The England and Wales Solicitors Regulation is accordingly set out in nontechnical language. Staff (irrespective of position, seniority or legal background) will readily be
able to understand what is expected of them based on their roles, where the legal obligations
in concern come from, and the risks and consequences faced.