Following stakeholder feedback on drafts published earlier this year, the Solicitors Regulation Authority (SRA) has issued a range of new guidance materials designed to directly support the 34,500 plus solicitors working in-house across England and Wales.
At the first Legal News Wales In-House Lawyers Network event in March 2024, it estimated by the SRA that just under a quarter of regulated solicitors in Wales are employed as lawyers in private or public sector in-house organisations. It is the first time such detailed and specific guidance has been given to in-house solicitors by the regulator, and aims to help practitioners show the value they can bring to managing ethical behaviours and legal risk for their employers.
The guidance addresses the unique challenges and issues facing in-house solicitors working across a range of employers and sectors.
It was developed following requests from the profession and issues identified in a thematic review. It also comes at a time when high-profile cases such as the Post Office shine a light on the role of in-house lawyers.
Juliet Oliver, General Counsel at the Solicitors Regulation Authority said:
“This is the first time we have produced such a breadth of guidance for in-house solicitors. I want to thank all of those who took time to comment. The input we received from professionals was invaluable.
“These documents reflect the unique challenges and issues that in-house solicitors encounter in their day-to-day roles and aim to support solicitors in meeting these, and to highlight the value that in-house solicitors can bring to organisations in promoting ethical behaviour and managing legal risk.”
Topics covered in the guidance include identifying the client, and reporting concerns of wrongdoing. It also addresses issues such as legal professional privilege, balancing ethical obligations and managing legal risk. Guidance addressed to employers aims to enhance understanding of solicitors’ professional obligations, and strengthen the support that employers provide to help solicitors to meet them.
Building on the drafts it first issued in March, the SRA has consulted with a virtual in-house solicitor reference group, made up of in-house professionals from the private, public and third sectors at various levels of seniority. The SRA also engaged the wider in-house community through surveys, round tables, direct discussions and more than 50 formal responses received following publication of the drafts.
Changes to the SRA’s original drafts, made as a result of feedback, include:
- More practical examples, resources and checklists.
- More information on acting for third parties and managing conflicts of interest.
- New guidance focused solely on legal professional privilege for the in-house solicitor.
- Clearer guidance on managing internal investigations and providing support for individuals involved.
The materials build on issues that arose from the SRA’s 2023 thematic review on working in-house and include guidance for organisations employing in-house solicitors. It seeks to establish mutual expectations and understanding of solicitors’ professional obligations, and what these mean they can – and cannot – do for their employer, and what employers can do to support solicitors to meet these.
The guidance
The package published today includes:
- Identifying your client when working in-house
- Reporting concerns about wrongdoing when working in-house
- Internal investigations
- Guidance for employers on a solicitor’s professional obligations
- New separate document for governing boards, chief executives and senior officers in organisations employing in-house solicitors
- New guidance on legal professional privilege when working in-house
The number of in-house solicitors in England and Wales continues to grow year-on-year and now accounts for more than one-fifth of all practising solicitors and work across more than 6,000 employers.