Maintaining trust and acting fairly
Guidance
Guidance
Payment Protection Insurance claims - Warning noticeWarning notice: This warning notice sets out our concerns about is those we regulate acting in claims for mis-sold payment protection insurance (PPI).
Risk factors in personal injury claims - Warning noticeWarning notice: This warning notice reminds you of your obligations if you take personal injury referrals from third parties, work closely with them or act on their instructions.
Public trust and confidence - GuidanceGuidance: To explain when you are likely to be found to have breached your obligation under Principle 2 to act in a way that upholds public trust and confidence.
Workplace environment: risks of failing to protect and support colleagues - GuidanceGuidance: our approach where we consider that individuals and firms have failed to take appropriate steps to look after colleagues' wellbeing.
Workplace environment: risks of failing to protect and support colleagues - Case studiesCase studies: to be read in conjunction with the guidance on workplace environment: risks of failing to protect and support colleagues
Glossary terms
client
means the person for whom you act and, where the context permits, includes prospective and former clients
in the SRA Financial Services (Scope) Rules, in relation to any regulated financial services activities carried on by an authorised body for a trust or the estate of a deceased person (including a controlled trust), means the trustees or personal representatives in their capacity as such and not any person who is a beneficiary under the trust or interested in the estate
undertaking
means a statement, given orally or in writing, whether or not it includes the word "undertake" or "undertaking", to someone who reasonably places reliance on it, that you or a third party will do something or cause something to be done, or refrain from doing something
court
means any court, tribunal or inquiry of England and Wales, or a British court martial, or any court of another jurisdiction
prescribed
means prescribed by the SRA from time to time