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The Solicitor's Handbook 2019

The authoritative commentary on the new SRA Standards and Regulations
Gregory Treverton-Jones, QC, Nigel West, Susanna Heley and Robert Forman
Availability: Published

The Solicitor’s Handbook is a comprehensive guide to the regulations governing the conduct of solicitors.

This edition has been updated to take account of all the key regulatory developments which have taken place since the publication of the 2017 edition, in particular the major changes introduced in November 2019 by the SRA Standards and Regulations.

Key regulatory changes covered in this edition include:

  • the reduction of the SRA Principles from ten to seven,
  • separate Codes of Conduct for individuals and entities and simplification of the SRA Accounts Rules,
  • the SRA Transparency Rules,
  • removal of restrictions on where in-house solicitors can practise,
  • professional indemnity insurance, and
  • new Solicitors Disciplinary Tribunal rules.


"The book takes the reader through the history and evolution of the regulatory framework up to the current day... For those proactively taking steps to mitigate compliance risks in practice to those reacting to an approach from the SRA there is comprehensive information and guidance. The text is accessible, informative and entertaining. This is a publication that every firm should own."

Helen Carr, 31 October 2019, The Law Society - Risk and Compliance Service feature

This book is essential reading for all firms and, in particular, for those individuals within firms who are concerned with ensuring that they meet their regulator’s expectations. Its authors are pre-eminent in the field of regulatory compliance and they make the contents accessible and exceptionally clear in their comprehensive coverage of all the regulatory and Statutory requirements that must be understood and applied to every day practice.

Bronwen Still, Director of Infolegal Ltd


  1. Part 1 Overview
  2. 1. The regulatory and disciplinary landscape 3
  3. 2. The regulation and authorisation of business entities 7
  4. Part 2 The SRA Principles and Codes
  5. 3. Overview of the Principles and the Codes 27
  6. 4. The SRA Code of Conduct for Solicitors, RELs and RFLs 35
  7. 5. The SRA Code of Conduct for Firms 00
  8. Part 3 Other rules
  9. 6. The SRA Accounts Rules 2019 123
  10. 7. Compliance officers (COLPs and COFAs) 137
  11. 8. Financial services regulation 149
  12. 9. Property selling 163
  13. 10. Overseas and European cross-border practice 167
  14. 11. Professional indemnity insurance 171
  15. 12. Registered European lawyers and registered foreign lawyers 181
  16. 13. Regulation by other approved regulators 185
  17. Part 4 The regulatory system in practice
  18. 14. The Legal Ombudsman 193
  19. 15. SRA investigations 207
  20. 16. Practising certificate controls and removal of a solicitor’s name from the Roll 219
  21. 17. Intervention and orderly closure 233
  22. 18. Control of solicitors’ employees 251
  23. Part 5 The disciplinary system in practice
  24. 19. Professional misconduct, its forms and formulation 259
  25. 20. SRA-imposed sanctions 263
  26. 21. Proceedings before the SDT: (1) pre-trial 271
  27. 22. Proceedings before the SDT: (2) trial, sanctions, costs and appeals
  28. 23. Proceedings before the SDT: (3) appeals to the Tribunal 319
  29. 24. Disciplinary jurisdiction of the High Court 333
  30. Part 6 The regulation of ABSs
  31. 25. Alternative business structures: getting started 339
  32. 26. Alternative business structures: discipline and enforcement 343
  33. Part 7 Fraud and money laundering
  34. 27. The risks of fraud 353
  35. 28. Money laundering 365
  36. Part 8 Appendices

About the Author

Gregory Treverton-Jones, QC is a barrister at 39 Essex Chambers. Nigel West and Susanna Heley are partners at RadcliffesLeBrasseur. Robert Forman is a senior consultant at Murdochs Solicitors.




Regulation and compliance


September 2019


Law Society




864 Pages