RULES AND GUIDANCE:

Preamble to Rules

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  Section A: General Provisions

  • Rule A1: Citation and Commencement

    • Rules

      • A1: Citation and Commencement

    • Guidance

      • There is no Guidance in this topic

    • Advice and Information

      • There is no Advice and Information in this topic

    • Forms and Fees

      • There are no Forms and Fees in this topic

    • Alerts

      • There are no Alerts in this topic
  • Rule A2: Definitions and Interpretation

    • Rules

      • A2: Definitions and Interpretation
      • A2: Schedule 1 (Glossary)

    • Guidance

      • There is no Guidance in this topic

    • Advice and Information

      • There is no Advice and Information in this topic

    • Forms and Fees

      • There are no Forms and Fees in this topic

    • Alerts

      • There are no Alerts in this topic
  • Rule A3: Application

    • Rules

      • A3: Application

    • Guidance

      • A3: Application

    • Advice and Information

      • There is no Advice and Information in this topic

    • Forms and Fees

      • There are no Forms and Fees in this topic

    • Alerts

      • There are no Alerts in this topic
  • Rule A4: Failure to Comply

    • Rules

      • A4: Failure to Comply

    • Guidance

      • There is no Guidance in this topic

    • Advice and Information

      • There is no Advice and Information in this topic

    • Forms and Fees

      • There are no Forms and Fees in this topic

    • Alerts

      • There are no Alerts in this topic
  • Rule A5: Waiver

    • Rules

      • A5: Waiver
      • A5: Schedule 2

    • Guidance

      • A5: Waiver

    • Advice and Information

      • There is no Advice and Information in this topic

    • Forms and Fees

      • A5: Waiver Request Forms

    • Alerts

      • There are no Alerts in this topic
  • Rule A6: Revocation and Savings

    • Rules

      • A6: Revocation and Savings
      • A6: Schedule 3

    • Guidance

      • There is no Guidance in this topic

    • Advice and Information

      • There is no Advice and Information in this topic

    • Forms and Fees

      • There are no Forms and Fees in this topic

    • Alerts

      • There are no Alerts in this topic
  • Rule A7: Communication and Notices

    • Rules

      • A7:Communication and Notices

    • Guidance

      • There is no Guidance in this topic

    • Advice and Information

      • There is no Advice and Information in this topic

    • Forms and Fees

      • There are no Forms and Fees in this topic

    • Alerts

      • There are no Alerts in this topic
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  Section B: Fundamental Principles and Client Care

  • Rule B1: Standards of Conduct

    • Rules

      • B1.1: Application
      • B1.2: Trust and personal integrity
      • B1.3: Independence
      • B1.4: The interests of the client
      • B1.5: Proper instructions
      • B1.6: Confidentiality
      • B1.7: Conflict of Interest
      • B1.8: Disclosure of Interest
      • B1.9: Effective communication
      • B1.10: Competence, diligence and appropriate skills
      • B1.11: Professional fees
      • B1.12: Withdrawing from acting if instructions are accepted
      • B1.13: Relations with the courts
      • B1.14: Relations between regulated persons
      • B1.15: Diversity

    • Guidance

      • B1.1: Application
      • B1.4: The interests of the client
      • B1.5: Mandates and Mental Capacity
      • B1.5: Adults with Incapacity (Scotland) Act 2000
      • B1.6: Confidentiality Generally
      • B1.6: Confidentiality: Notifications to ICO
      • B1.6: Comments to the Media by Solicitors
      • B1.6: Company Audit Enquiries
      • B1.10: Competence, diligence and appropriate skills
      • B1.14: Defenders Contacting Pursuers' Agents Direct
      • B1.14: Settlements - Holding Items as Undelivered

    • Advice and Information

      • B1.6: Notifications to ICO under the Data Protection Act
      • B1.6: Consent Form - Access to Medical Records
      • B1.15: Diversity

    • Forms and Fees

      • There are no Forms and Fees in this topic

    • Alerts

      • There are no Alerts in this topic
  • Rule B2: Conflict of Interest

    • Rules

      • B2.1: Conflict of Interest
      • B2.2: Drafting Wills

    • Guidance

      • B2.1: Conflict of Interest Generally
      • B2.1: Conflict of Interest in Commercial Securities
      • B2.1: Mandates in Executries
      • B2.1: Acting as Director of Client Company
      • B2.1: Pre-nuptial, Cohabitation and Separation Agreements
      • B2.1: Conflict of interest guidance on corporate guarantees sought by banks
      • B2.2: Drafting Wills

    • Advice and Information

      • B2.1: Conflict of Interest Waivers

    • Forms and Fees

      • There are no Forms and Fees in this topic

    • Alerts

      • There are no Alerts in this topic
  • Rule B3: Advertising and Promotion

    • Rules

      • B3: Advertising and Promotion

    • Guidance

      • B3: Advertising Fees
      • B3: Mandates
      • B3: Mandates in Criminal Work

    • Advice and Information

      • There is no Advice and Information in this topic

    • Forms and Fees

      • There are no Forms and Fees in this topic

    • Alerts

      • There are no Alerts in this topic
  • Rule B4: Client Communication

    • Rules

      • B4: Client Communication

    • Guidance

      • B4: Client Communication Generally
      • B4: Engagement Waiver for Mortgage Lenders
      • B4: Closing of Files
      • B4: Interest on Invested Funds
      • B4: Terms of Business - Client Funds

    • Advice and Information

      • There is no Advice and Information in this topic

    • Forms and Fees

      • There are no Forms and Fees in this topic

    • Alerts

      • There are no Alerts in this topic
  • Rule B5: Client Relations Manager

    • Rules

      • B5: Client Relations Manager

    • Guidance

      • B5:Client Relations Manager

    • Advice and Information

      • There is no Advice and Information in this topic

    • Forms and Fees

      • There are no Forms and Fees in this topic

    • Alerts

      • There are no Alerts in this topic
  • Rule B6: Accounts, Accounts Certificates, Professional Practice & Guarantee Fund

    • Rules

      • B6: Accounts, Accounts Certificates, Professional Practice & Guarantee Fund

    • Guidance

      • B6: Accounts, Accounts Certificates, Professional Practice & Guarantee Fund

    • Advice and Information

      • B6: The Proceeds of Crime Act 2002 and civil litigation
      • B6: Money Laundering - Links to further information
      • B6: Money Laundering - Identifying Issues

    • Forms and Fees

      • B6: Accounts, Accounts Certificates, Professional Practice and Guarantee Fund

    • Alerts

      • There are no Alerts in this topic
  • Rule B7: Professional Indemnity Insurance

    • Rules

      • B7.1: Master Policy
      • B7.2: Contingency Fund

    • Guidance

      • B7.1: Criminal Court Undertaking

    • Advice and Information

      • B7.1: Information on the Master Policy

    • Forms and Fees

      • There are no Forms and Fees in this topic

    • Alerts

      • There are no Alerts in this topic
  • Rule B8: Miscellaneous Client Protection Requirements

    • Rules

      • B8.1: Written Fee Agreements
      • B8.2: ARTL Mandates
      • B8.3: Industrial Action
      • B8.4: Appearance in a Superior Court

    • Guidance

      • B8.2: ARTL Mandates

    • Advice and Information

      • B8.2: ARTL Mandates – Opinions of Professor Robert Rennie
      • B8.2: ARTL Mandates

    • Forms and Fees

      • There are no Forms and Fees in this topic

    • Alerts

      • There are no Alerts in this topic
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  Section C: Specialities

  • Rule C1: Cross-Border Practice

    • Rules

      • C1: Cross-Border Practice

    • Guidance

      • C1: Cross-Border Practice

    • Advice and Information

      • There is no Advice and Information in this topic

    • Forms and Fees

      • There are no Forms and Fees in this topic

    • Alerts

      • There are no Alerts in this topic
  • Rule C2: Incidental Financial Business

    • Rules

      • C2: Incidental Financial Business

    • Guidance

      • C2: Incidental Financial Business Generally
      • C2: Pension Sharing on Divorce

    • Advice and Information

      • There is no Advice and Information in this topic

    • Forms and Fees

      • C2: Incidental Financial Business Forms

    • Alerts

      • There are no Alerts in this topic
  • Rule C3: Civil Legal Aid

    • Rules

      • C3: Civil Legal Aid

    • Guidance

      • C3: Peer Review Criteria Guidance

    • Advice and Information

      • C3: Quality Assurance Scheme

    • Forms and Fees

      • There are no Forms and Fees in this topic

    • Alerts

      • C3: Reminder
  • Rule C4: Solicitor Advocates

    • Rules

      • C4.1: Rights of Audience in the Civil Courts
      • C4.2: Rights of Audience in the Criminal Courts
      • C4.3: Order of Precedence, Instructions and Representation
      • C4.4: Conduct of Solicitor Advocates

    • Guidance

      • There is no Guidance in this topic

    • Advice and Information

      • C4.1/4.2: Acquiring Rights of Audience
      • C4.1/4.2: Queen’s Counsel in Scotland

    • Forms and Fees

      • C4: Solicitor Advocates

    • Alerts

      • There are no Alerts in this topic
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  Section D: Requirements of and Restrictions on Practice

  • Rule D1: Practising Certificates

    • Rules

      • D1: Practising Certificates

    • Guidance

      • D1: PC Renewal

    • Advice and Information

      • There is no Advice and Information in this topic

    • Forms and Fees

      • There are no Forms and Fees in this topic

    • Alerts

      • There are no Alerts in this topic
  • Rule D2: Practising as a Manager

    • Rules

      • D2.1: Restriction on practice
      • D2.2: Practice management course
      • D2.3: Associates, Consultants and Employees

    • Guidance

      • There is no Guidance in this topic

    • Advice and Information

      • There is no Advice and Information in this topic

    • Forms and Fees

      • There are no Forms and Fees in this topic

    • Alerts

      • There are no Alerts in this topic
  • Rule D3: Prohibition on Association with Disqualified Persons

    • Rules

      • D3: Prohibition on Association with Disqualified Persons

    • Guidance

      • There is no Guidance in this topic

    • Advice and Information

      • There is no Advice and Information in this topic

    • Forms and Fees

      • There are no Forms and Fees in this topic

    • Alerts

      • There are no Alerts in this topic
  • Rule D4: Practice Unit Information

    • Rules

      • D4: Practice Unit Information

    • Guidance

      • There is no Guidance in this topic

    • Advice and Information

      • D4: Starting a New Practice
      • D4: Solicitors Ceasing their Practice

    • Forms and Fees

      • D4: Practice Unit Information Forms

    • Alerts

      • There are no Alerts in this topic
  • Rule D5: Incorporated Practices

    • Rules

      • D5: Incorporated Practices

    • Guidance

      • D5: Trust and Company Service Providers

    • Advice and Information

      • There is no Advice and Information in this topic

    • Forms and Fees

      • D5: Incorporated Practice Form

    • Alerts

      • There are no Alerts in this topic
  • Rule D6: Registration of European Lawyers

    • Rules

      • D6: Registration of European Lawyers

    • Guidance

      • There is no Guidance in this topic

    • Advice and Information

      • There is no Advice and Information in this topic

    • Forms and Fees

      • D6: Registered European Lawyers Forms

    • Alerts

      • There are no Alerts in this topic
  • Rule D7: Registration of Foreign Lawyers

    • Rules

      • D7: Registration of Foreign Lawyers

    • Guidance

      • D7 / D8: Registration of Foreign Lawyers and Multi-national Practices

    • Advice and Information

      • There is no Advice and Information in this topic

    • Forms and Fees

      • D7: Registered Foreign Lawyers Forms

    • Alerts

      • There are no Alerts in this topic
  • Rule D8: Multi-national practices

    • Rules

      • D8.1: Entering a Multi-national practice
      • D8.2: Principal Place of Business

    • Guidance

      • D7 / D8: Registration of Foreign Lawyers and Multi-national Practices

    • Advice and Information

      • There is no Advice and Information in this topic

    • Forms and Fees

      • D8.1 / 8.2: Multi-national Practice Form

    • Alerts

      • There are no Alerts in this topic
  • Rule D9: Multi-disciplinary Practices

    • Rules

      • D9.1: Prohibition on multi-disciplinary practices
      • D9.2: Prohibition on the sharing of fees

    • Guidance

      • D9.2: Prohibition on the sharing of fees

    • Advice and Information

      • There is no Advice and Information in this topic

    • Forms and Fees

      • There are no Forms and Fees in this topic

    • Alerts

      • There are no Alerts in this topic
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  Section E: General Guidance on Client Care and Practice Management

  • Division A: Standards of Service

    • Rules

      • There are no Rules in this topic

    • Guidance

      • Standards of Service

    • Advice and Information

      • There is no Advice and Information in this topic

    • Forms and Fees

      • There are no Forms and Fees in this topic

    • Alerts

      • There are no Alerts in this topic
  • Division B: The Management of Files, Papers and Information

    • Rules

      • There are no Rules in this topic

    • Guidance

      • The Ownership and Destruction of Files
      • Lenders’ requests for Solicitor Files
      • Document Control and File Tracking
      • Scanning and Archiving Documents
      • Electronic Communications
      • Charging for Lending or Delivering Files, Titles and other Papers

    • Advice and Information

      • Cloud Computing - Advice for the profession
      • Social Media – Advice and Information for the Legal Profession

    • Forms and Fees

      • There are no Forms and Fees in this topic

    • Alerts

      • There are no Alerts in this topic
  • Division C: Fees

    • Rules

      • There are no Rules in this topic

    • Guidance

      • Form of Business Accounts and Taxation

    • Advice and Information

      • There is no Advice and Information in this topic

    • Forms and Fees

      • There are no Forms and Fees in this topic

    • Alerts

      • There are no Alerts in this topic
  • Division D: Approval of Executry and Trust Accounting

    • Rules

      • There are no Rules in this topic

    • Guidance

      • Executry and Trust Accounting

    • Advice and Information

      • There is no Advice and Information in this topic

    • Forms and Fees

      • There are no Forms and Fees in this topic

    • Alerts

      • There are no Alerts in this topic
  • Division E: Guidance on Referral of Clients for Financial Advice

    • Guidance

      • Guidance on Referral of Clients for Financial Advice
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  Section F: Guidance Relating to Particular Types of Work

  • Division A: Criminal Work

    • Rules

      • There are no Rules in this topic

    • Guidance

      • The Code of Conduct for Criminal Work
      • Correspondence between Prisoners and Legal Advisers
      • Precognosing Untried Prisoners

    • Advice and Information

      • There is no Advice and Information in this topic

    • Forms and Fees

      • There are no Forms and Fees in this topic

    • Alerts

      • There are no Alerts in this topic
  • Division B: Immigration

    • Rules

      • There are no Rules in this topic

    • Guidance

      • Immigration Practitioners

    • Advice and Information

      • There is no Advice and Information in this topic

    • Forms and Fees

      • There are no Forms and Fees in this topic

    • Alerts

      • There are no Alerts in this topic
  • Division C: Conveyancing

    • Rules

      • There are no Rules in this topic

    • Guidance

      • Fixed Price Offers
      • Gazumping, Gazundering and Closing Dates
      • Avoidance of Delay in Concluding Missives
      • Delivery of Missives - Thomas Park, Petitioner
      • Standard Missives
      • Exhibition of Title Deeds
      • Home Reports
      • Common Repairs
      • Deeds of Conditions for Housing Estates
      • Coal Mining Searches
      • Contaminated Land
      • Letters of Obligation
      • Postal Settlement
      • Cheques to be Held as Undelivered
      • Settlement, Loan Redemption and Remit of Free Proceeds of Sale
      • Registration of Deeds – Payment of Registration Dues by Direct Debit
      • Registration of Deeds – ARTL
      • Retention of Funds
      • Implementation of Letters of Obligation in Land Registration Cases
      • Identifying Mortgage Fraud
      • Discount Standard Securities – Discharges
      • Discharge of Standard Securities

    • Advice and Information

      • Standard Missives - Examples
      • Discharges of Standard Securities

    • Forms and Fees

      • There are no Forms and Fees in this topic

    • Alerts

      • Settlement Cheque Clearance
  • Division D: Court Work

    • Rules

      • There are no Rules in this topic

    • Guidance

      • Duty to Lodge a Joint Minute and move for decree

    • Advice and Information

      • Pre action Protocol in Personal Injury Cases
      • Pre action Protocol - Fees in personal injury cases
      • Pre action Protocol – Specimen Letters
      • Pre action Protocol – Standard Disclosure letters
      • Pre action Protocol – Insurer Members
      • Pre action Protocol in Professional Negligence Cases
      • Pre action Protocol in Disease cases

    • Forms and Fees

      • There are no Forms and Fees in this topic

    • Alerts

      • There are no Alerts in this topic
  • Division E: Acting as Notary Public

    • Rules

      • There are no Rules in this topic

    • Guidance

      • Guidance re Acting as Notary Public

    • Advice and Information

      • There is no Advice and Information in this topic

    • Forms and Fees

      • There are no Forms and Fees in this topic

    • Alerts

      • There are no Alerts in this topic
  • Division F: Acting as Insolvency Practitioner

    • Rules

      • There are no Rules in this topic

    • Guidance

      • Acting as an Insolvency Practitioner

    • Advice and Information

      • There is no Advice and Information in this topic

    • Forms and Fees

      • There are no Forms and Fees in this topic

    • Alerts

      • There are no Alerts in this topic
  • Division G: Mental Health Tribunal work

    • Rules

      • There are no Rules in this topic

    • Guidance

      • Code of Conduct for Mental Health Tribunal work

    • Advice and Information

      • There is no Advice and Information in this topic

    • Forms and Fees

      • There are no Forms and Fees in this topic

    • Alerts

      • There are no Alerts in this topic