How SRA and FCA rules shape law firm marketing in England and Wales

What to take away

SRA Principles 7 and 8 govern how a firm presents itself, its people and its results.
Transparency Rules 1.1 to 1.3 require published prices, fee basis, disbursements and the people doing the work for conveyancing, probate, personal injury claims and employment tribunal claims.
FCA rules apply when copy invites a reader into an investment, pension, mortgage or insurance product. An unauthorised firm needs an authorised person to approve it.
COBS 4.2.1R requires promotions to be fair, clear and not misleading. The CAP Code adds substantiation duties at rules 3.1 and 3.7.
One approval workflow with named sign-off catches SRA, FCA and ASA problems before publication.

Which SRA rules govern marketing copy

Marketing is a client-facing act, so the SRA Principles apply to it. Principle 7 requires you to act in the best interests of each client. Principle 8 requires effective governance and sound risk management, which is where the approval file comes in.

Code of Conduct paragraph 1.1 says you do not mislead clients, the court or others. That covers websites, paid search, social posts and brochures.

The Legal Services Board approves the SRA rulebook and oversees the regulators.

What the SRA Transparency Rules require

Rules 1.1 and 1.2 list the work in scope: residential conveyancing, uncontested probate, personal injury claims and employment tribunal claims. Rule 1.3 sets the content.

Publish the total cost or a range, the fee basis, likely disbursements, VAT, exclusions, and the qualifications of the people doing the work. Complaints information is a separate duty covering both the firm and the Legal Ombudsman.

SRA Transparency Rules: publish these

Total cost or a range
Basis of the fee
Likely disbursements
What the price covers
What the price excludes
Solicitors' qualifications and experience
How to complain to Legal Ombudsman

A headline fee that hides a leasehold supplement or search costs is not transparent. A stale fee left online is a live claim, so diarise the review.

Example: a compliant conveyancing price page

Illustrative figures for a freehold purchase:

Compliant conveyancing price page

Fee: 850 pounds plus VAT, fixed for a standard freehold purchase.
Disbursements: searches 300 pounds and Land Registry fee 300 pounds, both estimates.
Who does the work: a named solicitor, with qualifications and experience stated.
Exclusions: leasehold supplement and expedited searches, quoted separately.

The page states the price basis and separates estimates from fixed fees. Our how to market a law firm in England and Wales guide places it in a wider plan.

Compliant and non-compliant claim wording

Why it fails

"We win most claims": Outcome claim, no stated population
"Best law firm in England and Wales": Unverifiable superlative
"No win, no fee always wins more": Comparison plus certain outcome

Compliant version

"We win most claims": Give the sample, period and definition
"Best law firm in England and Wales": Cite a dated, named survey or drop it
"No win, no fee always wins more": Describe the service and typical costs

CAP Code rules 3.1 and 3.7 apply alongside SRA duties: copy must not mislead, and evidence must exist before publication. The advertising codes set those rules out.

Testimonials must be genuine and must not imply a guaranteed result. The ASA rulings index is searchable by sector; read it before publishing a comparison. A CAP Code compliance guide covers the substantiation standard for legal claims.

When FCA financial promotion rules catch a law firm

The test is what the promotion invites, not the firm's label. A page urging a client to move a pension into a named product is a financial promotion.

Under section 21 of the Financial Services and Markets Act 2000, an unauthorised firm needs an authorised person to approve a promotion before it is communicated. Probate copy about investing estate assets, conveyancing pages pushing linked insurance and claims pages discussing settlement investment sit near that line.

COBS 4.2.1R requires the promotion to be fair, clear and not misleading; see the FCA Handbook COBS 4. Both the FCA and the SRA can act on one page, so log each figure's source and the approval date.

A five-step marketing approval workflow

Five-step marketing approval workflow

Draft. The marketing lead writes the page and lists every factual claim.
Evidence. Compliance confirms a source exists for each figure and comparison.
Sign-off. The compliance officer for legal practice (COLP) signs SRA and Transparency Rules points. An authorised person signs financial promotions.
Publish. Only the approved version goes live, with the date logged.
Review. Re-check at least annually, and whenever a fee changes.

Marketing approval workflow

Draft claim with named source
Screen against SRA Standards and Transparency Rules
Screen against FCA financial promotion rules
Check against CAP Code and ASA guidance
Record approval with date and evidence

In a small firm the COLP and the compliance officer for finance and administration (COFA) share this. One named person still owns the final release. Consent rules also apply to the email promoting the page, which is why our email marketing for law firms guide covers GDPR and PECR.

Common questions

Do the Transparency Rules apply to every practice area?

No. Price publication covers the services in rule 1.2, plus the separate complaints duty. The duty not to mislead applies to all marketing.

Can a marketing agency approve the copy?

Not alone. Regulatory sign-off needs someone who knows the SRA Standards and the FCA regime, usually the COLP.

Does mentioning investments need FCA approval?

Only when copy invites or induces a reader to engage in investment activity. A neutral description of legal work is not a promotion.

What happens if a claim is challenged?

The SRA can act on a breach of the Principles, and the ASA can require a campaign to change or be withdrawn. The approval log is the defence.