Essential compliance primer for the ages

I have been reviewing each edition of this book since 2011. The last volume to come out was in 2019. I have always had to remind myself that I am reviewing the book not the subject matter. This edition, like its predecessors, is a clear, user-friendly guide to the subject of how, why and who regulates the profession.

The Guide to the Professional Conduct of Solicitors was first published in 1960 and went through eight editions by 1999. It was followed by the ‘vast’ Solicitors’ Code of Conduct 2007, outcomes-focused regulation in 2011 and two sets of rules in 2019 – one for individuals and one for firms. The aim of the changes was to produce rules that are simpler, shorter and easier to understand. ‘Time will tell,’ I wrote two years ago, ‘if less is more.’

Two years on, I am not convinced that less is more. The pace of change over the past 10 years has been rapid and there is not much evidence that regulation is getting clearer or more flexible.

We should as a profession be proud of and celebrate the high standards expected of us. The media often portrays the profession negatively but the reality is different. We do the utmost to be fair and give an excellent service, often in difficult conditions. Every profession probably feels it is over-regulated and ours is no different.

The past two years have brought additional issues for solicitors such as Brexit and Covid and it will take time for the impact on regulation to sink in. Will there be complaints about giving advice over the computer and telephone rather than face to face, and possibly litigation about documents that were remotely certified and executed? You bet there will!

The profession is currently face a whole raft of urgent regulatory issues, including: how far a solicitor’s life away from the office should be policed; in what circumstances professional undertakings can be relied on; who pays the costs of an unsuccessful prosecution of a solicitor; and when is it improper to use non-disclosure agreements.

What we do outside the office and whether to police a solicitor’s private life is especially topical. The #MeToo movement’s focus on sexual misconduct led to investigations into the private lives of solicitors and a very notable case. It is an area where further guidance is needed. Other professions do not regulate their members’ private lives to the same extent.

The status of solicitors’ undertakings after Harcus Sinclair will be revisited by the courts this year. There are revisions to guidance on conflicts of interest and updated advice on anti-money laundering.

The contents of this book include a description of the principles and rules and the regulatory and disciplinary systems in practice. Some 300 pages of appendices cover everything we need to know. The section on sources of support for lawyers, however, is just over one page.

The guidance not only describes the framework but looks at the way these bodies work. This includes how the Legal Ombudsman carries out its role and the work of the SRA.

Now, at least, we get some explanation from the SRA of what the concerns are that led to a visit or investigation.

Whatever the future holds for regulation, I look forward to reviewing the next edition of this essential book.

David Pickup is a partner at Pickup & Scott Solicitors, Aylesbury