Table of Contents

1. Introduction; 2. The regulatory landscape; 3. The SRA Handbook; 4. The SRA Principles;5. Understanding outcomes focused regulation; 6. The SRA Code-essentials for all staff;7. Other conduct requirements; 8. Complying with the SRA Accounts Rules; 9. Practising certificates,job titles and the risks of holding out; 10. Key legislation for law firms; 11. Compliance in a nutshell;Appendices.

About the Author

Tracey Calvert was a senior ethics adviser with the ethics guidance team at the SRA and was part of the policy team which drafted the SRA Handbook launched in October 2011. Tracey also has a background in practice having worked both in a City law firm and in local government. She is currently the director of Oakalls Consultancy Limited providing compliance, consultancy and training services to individuals and law firms authorised and regulated by the SRA.