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The compliance benefits of ethical behaviours

A tension lies in reconciling the appropriate ethical response with the realities and pressures of working in the modern legal industry, writes Tracey Calvert

31 May 2016

In the past few years, focus on professional ethics has been sidelined by the need to consider risk management and compliance. We have seen firms invest time and resources in tools with which to demonstrate to the regulator that the right things happen.

However, professional ethics matter as well. It is essential that an individual knows what behaviours to display and makes the right decisions about how to act. Without an ethical marker, decisions may be made that bring the professionalism of the individual concerned into doubt.

It seems that the Solicitors Regulation Authority (SRA) also takes this view. The two most obvious changes in emphasis are in the SRA's competence statement and in the teasers we are being given about handbook consultations.

The competence statement (an essential compliance resource) starts with a consideration of the qualities solic...

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