SRA Compliance

Course Outline

Course Description:

This course is designed to provide legal professionals with the skills and knowledge needed to comply with SRA regulations, principles, and codes of conduct. Split into eight separate modules offering a comprehensive overview of key compliance requirements, ethical responsibilities, and best practices.

What You’ll Learn:

You will learn the SRA Principles & Codes of Conduct, the importance of honesty, integrity, client confidentiality and how to manage conflicts of interest. Additionally, you will gain expertise in complaints handling as well as understanding SRA enforcement and disciplinary procedures, and how to navigate audits and investigations.

This course aligns with the SRA competencies: A1-A5 (Ethics, Professionalism and Judgment); B6-B7 (Technical Legal Practice); C1-C3 (Working with Others) and D1-D3 (Managing Yourself and Your Work).

Course Modules:

Each module contains one or more multiple-choice assessments. A pass mark of 80% is required for each assessment.

1. SRA Principles & Codes of Conduct – how they apply in day-to-day legal practice
2. Acting with Honesty & Integrity – the SRA’s expectations on honesty and integrity with real life case examples
3. Client Confidentiality – protecting client trust; understanding the duty of confidentiality
4. Conflicts of Interest – balancing duties; managing conflicts of interest effectively
5. SRA Audits & Investigations – being prepared; navigating SRA audits and investigations with confidence
6. SRA Enforcement & Disciplinary Action – consequences of non-compliance; SRA enforcement and penalties
7. Complaint Handling – best practices for resolving complaints
8. Client Care – delivering excellence; client care obligations