Q&As

Is an undertaking binding and enforceable if given by a legally unqualified individual on behalf of their law firm?

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Published by a ÀÏ˾»úÎçÒ¹¸£Àû Practice Compliance expert
Published on: 28 July 2021
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The SRA Code of Conduct for Firms imposes an obligation on the firm to comply with all undertakings given by the firm within an agreed timescale—or if no timescale has been agreed, within a reasonable amount of time. Failure by the firm to comply with an undertaking properly given on its behalf is therefore a matter that can be reported to the Solicitors Regulation Authority (SRA). However, the recipient of the undertaking (and the SRA) will need to be satisfied that the individual giving the undertaking was authorised to do so on behalf of the firm.

The SRA cannot itself enforce compliance with an undertaking. For more guidance, see Practice Note: Undertakings and the SRA.

In terms of enforcing an undertaking via the court, there are two potential options:

  1. •

    application to the court to exercise its inherent

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United Kingdom
Key definition:
SRA Code of Conduct definition
What does SRA Code of Conduct mean?

The conduct requirements of the Solicitors Regulation Authority (SRA).

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