Chapter 1. The Seven Essential Principles

The Solicitors Regulation Authority (SRA) Principles are the core ethical standards that legal service providers, including firms and individuals such as solicitors, must adhere to. These principles serve as the foundation for ethical decision-making in the face of dilemmas.

Solicitors are obliged to conduct themselves in a manner that:

• Supports the rule of law and proper administration of justice.
• Maintains public trust and confidence in the solicitors' profession and legal services.
• Preserves independence.
• Demonstrates honesty.
• Exhibits integrity.
• Promotes equality, diversity, and inclusion.
• Prioritises the best interests of each client.

Consider a scenario where a client opts to name their solicitor as the executor in a will being prepared by the solicitor. This arrangement might serve the client well, especially if their affairs are intricate or if there is a likelihood of familial disputes. Nonetheless, appointing a professional executor, as opposed to a family member or another non-professional, could incur higher costs and might not be advantageous in straightforward cases like when the client's affairs are simple. Before finalising a will that designates the solicitor as the executor, it is incumbent upon the solicitor to thoroughly discuss the alternatives with the client, ensuring that the client's decision is made with full awareness of the implications.

In instances where multiple Principles conflict, the Principle that protects broader public interest (such as the rule of law and a robust, secure market for regulated legal services) should be prioritised over individual client needs.

In pertinent situations, the solicitor must appraise their client of scenarios where their duty to the court and other professional responsibilities supersede their obligation to the client.