SRA Handbook: how does it apply to in-house lawyers?

The SRA Handbook 2011 (the Handbook), in force since 6 October 2011, gathers into one place all the Solicitors Regulation Authority (SRA) rules that apply to regulated individuals and entities. Since its introduction, there have been several changes to the Handbook, including the introduction of the SRA Overseas Rules 2013 (the Overseas Rules) and a new way of assuring competence for solicitors.

In 2016, the SRA began a wholesale review of the Handbook. The first consultation, which closed in September 2016 (phase one), resulted in the publication of a revised set of Principles and two Codes of Conduct: one for solicitors and one for regulated firms. The second consultation, which closed in December 2017 (phase two), proposed changes to the rest of the Handbook with a view to simplifying it and allowing solicitors to provide non-reserved legal services outside of regulated firms. The SRA is expected to provide feedback on phase later in 2018 and a revised Handbook is not therefore expected until late 2018 or early 2019.

This note focuses on the obligations set out in the current version of the Handbook imposed on in-house lawyers employed to work as England and Wales solicitors within commerce and industry, and who practise either in England and Wales or in other jurisdictions.