How to be SRA compliant part 1: A guide to the SRA Code of Conduct

The Solicitors Regulation Authority (SRA) Code of Conduct is the backbone of regulatory compliance for solicitors in England and Wales. It defines the ethical and professional standards expected from solicitors, ensuring they operate with integrity, transparency, and competence.

For small and medium-sized law firms, compliance can sometimes feel like a moving target. With a wide-ranging scope covering client care, conflict resolution, and confidentiality, firms need robust systems and processes in place. Part 1 of this 3-part guide breaks down the key challenges law firms face and provides practical solutions, including how legal technology, such as Osprey Approach, can help.

For more information, please visit the SRA code of conduct here.

Key principles of the SRA Code of Conduct

The Code of Conduct focuses on core principles that underpin ethical and professional behaviour in legal practice. Solicitors are required to:

• Act with integrity: Uphold honesty and the reputation of the legal profession.
• Maintain independence: Avoid external pressures or conflicts of interest that could compromise decisions.
• Deliver competent and timely services: Ensure a high standard of service within appropriate timeframes.
• Prioritise client interests: Balance client needs with fairness and transparency.
• Identify and manage conflicts: Put measures in place to prevent or resolve conflicts effectively.

While the principles of the Code are clear, implementing them can be challenging, particularly for smaller firms with limited resources. Below are some common obstacles and practical solutions.

Solution:

• Standardise client communication templates: Use pre-approved client care letters and terms of engagement templates to ensure consistency in the information provided to clients. This minimises errors and ensures compliance with SRA requirements.
• Leverage technology to streamline processes: Implement software with workflows to automate client care processes, ensuring every team member follows a pre-approved, compliant procedure for onboarding and engagement.
• Regular team training: Conduct frequent training sessions on client communication best practices to keep standards high and reinforce the importance of compliance.

This multi-pronged approach helps firms achieve consistency, reduce administrative burdens, and build stronger client relationships while maintaining full regulatory compliance.

Managing conflicts of interest

Conflicts of interest can damage a firm’s reputation and lead to non-compliance. Many firms face challenges in identifying and addressing conflicts early.

Solution:

• Introduce conflict-checking processes that are embedded into workflows to flag potential issues.
• Maintain a centralised conflict register to record identified conflicts and the actions taken to resolve them.

Ensuring confidentiality and data protection

The SRA Code emphasises the importance of safeguarding client information, but firms with outdated systems may find this difficult.

Solution:

• Regularly audit data security policies to ensure they align with evolving regulations.
• Implement secure case management software that restricts access to sensitive information and tracks usage.

Evidencing compliance

Having processes in place isn’t enough; firms must also demonstrate their compliance efforts during regulatory audits. This can be particularly challenging without organised records.

Solution:

• Use technology to create and maintain a detailed audit trail of compliance-related actions, such as client onboarding or conflict checks.
• Schedule regular internal reviews to assess and refine compliance procedures.

How Osprey can help firms stay compliant with the SRA Code of Conduct

Technology can play a crucial role in simplifying compliance. Osprey Approach provides tools that empower law firms to manage compliance tasks efficiently and with confidence.

Automating compliance workflows

Osprey’s workflows help firms embed compliance into their daily operations. Firms can:

• Standardise processes: Create workflows for onboarding, conflict checks, and document approvals, ensuring consistency.
• Automate reminders: Ensure compliance actions, such as annual policy reviews, are completed on time.

This proactive approach reduces the risk of oversight and strengthens adherence to the Code.

Standardising client correspondence

Consistent and compliant communication is vital for client care. Osprey enables firms to:

• Use pre-approved templates: Automate the generation of client care letters and terms of engagement.
• Reduce errors and save time: Ensure all clients receive accurate and professional documents.
• Leverage the client portal: Offer a secure and efficient way to communicate with clients, providing real-time updates and ensuring sensitive information is shared securely.

With consistent templates in place, firms can build trust and confidence with their clients.cy about a firm’s credentials. Prominent regulatory information can enhance trust and differentiate your firm from less transparent competitors. 

• Regular training sessions: Keep your team informed about regulatory updates and best practices.
• Internal audits: Periodically review processes, policies, and communications to identify and address any gaps.
• Dedicated compliance roles: Assign responsibility for compliance oversight to ensure accountability and consistency.

Embedding a culture of compliance within your firm can help mitigate risks and maintain professional standards.

Staying compliant with the SRA Code of Conduct

Compliance with the SRA Code of Conduct is essential for maintaining trust and integrity within the legal profession. By adopting a proactive approach, law firms can overcome common challenges, align with regulatory expectations, and deliver exceptional service to clients.

Technology, such as Osprey Approach, provides valuable support by automating workflows, standardising processes, and ensuring audit readiness. However, technology is most effective when paired with a commitment to continuous improvement and a culture of compliance.

Staying compliant isn’t just about meeting regulatory requirements; it’s about protecting your firm’s reputation, enhancing client relationships, and ensuring long-term success in a competitive legal landscape.

Book a consultation to discover how Osprey Approach can help you effectively complete client and matter risk assessments across your teams. 

For further advice and best practices you can view parts two and three of our SRA transparency guides.

Part 2: How to be SRA compliant part 2: 9 ways Osprey can help law firms stay compliant with the SRA Code of Conduct

Part 3: How to be SRA compliant part 3: The 5 common SRA Transparency Rules pitfalls that most SME law firms face and how to overcome them

Disclaimer

This guide is not intended as legal advice. For detailed guidance on the SRA Code of Conduct, please visit the official SRA website.