The Solicitors Regulation Authority (SRA) has updated its Effective Supervision Guidance, setting out how solicitors and law firms should approach the supervision of individuals delivering legal services. This update follows the Court of Appeal’s judgment on Mazur vs Others. The guidance is designed to help firms understand their existing obligations and how to meet them in practice.
You can read the full guidance here.
The Role of Effective Supervision
The SRA makes clear that effective supervision plays a vital role in:
- Delivering good outcomes for clients, staff and third parties
- Maintaining public confidence in legal services
The guidance explains that supervision is a fundamental element of how legal services are delivered and overseen, and is central to maintaining professional standards.
Purpose of the Guidance
The guidance is intended to:
- Set out the key themes of the approach the SRA expects firms and managers to follow
- Provide guidance on how supervision should be arranged and delivered across all legal services
- Offer practical insight into particular situations and areas of legal work, including examples of good practice
Importantly, the SRA emphasises that the guidance does not introduce new rules or requirements. Instead, it supports firms in understanding how to comply with obligations already set out in legislation and existing Standards and Regulations.
Who the Guidance Applies To
The guidance applies to:
- Solicitors
- Law firms regulated by the SRA
- Individuals supervising others delivering legal services
It also covers supervision where legal services are delivered by individuals who are not authorised by the SRA.
For the purposes of the guidance, the term “solicitor” includes registered European lawyers, registered foreign lawyers and registered Swiss lawyers.
Responsibility and Supervision
A central principle in the guidance is that responsibility remains with the authorised individual.
The SRA highlights that:
- An unauthorised person can carry out tasks as part of legal work on behalf of an authorised individual
- However, the authorised individual retains responsibility for those tasks
To meet their obligations, solicitors must be satisfied that their supervision arrangements enable them to exercise proper:
- Direction
- Management
- Supervision
- Control
Supervisory Arrangements
The SRA expects firms to put in place supervision arrangements that are capable of ensuring appropriate oversight of all legal services being delivered.
These arrangements should support:
- Proper control of legal work
- Clear accountability
- Effective management of those carrying out legal services
Supporting Regulatory Objectives
The approach set out in the guidance is intended to support the regulatory objectives in the Legal Services Act 2007. These include:
- Protecting the public interest
- Promoting the interests of consumers
- Encouraging a diverse and effective legal profession
- Promoting adherence to professional principles
Effective supervision is therefore closely linked to the wider purpose of regulation in the legal sector.