• Clear guidance

    first_imgI write in response to Andrew Hopper and Greg Treverton-Jones’ letter ‘Amending the Code by the back door’ (see letters, 19 November) on the new guidance to rule 9 (referrals of business). Some firms have mistakenly believed that if a client has already entered into a scheme with someone who introduces the client to the firm, then the firm is not required to consider if the arrangement is in the best interests of the client and to advise the client accordingly. The Solicitors Disciplinary Tribunal has made it clear repeatedly that this is not the correct application of the core duties – indeed in one case (Robinson SDT 9365-2005), such an approach was referred to as a ‘culpable failure’. Contrary to the suggestion by Andrew and Greg, the additional guidance imposes no new obligation on regulated persons, but is consistent with a growing number of tribunal decisions and earlier issued guidance. Our clarification of the guidance was in response to queries from members of the profession, and is clearly in the interests of clients and transparency.Antony Townsend, chief executive,Solicitors Regulation Authoritylast_img

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