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Regulatory Policies

This page sets out all the policies of our firm as well as for usage of this website. Please click on a link below to jump to that section.


The content of this website is for informational purposes only. Nothing on this site constitutes legal advice. If you require specific legal advice please contact us.

The information contained in this website is for general information purposes only. The information is provided by Carltons Solicitors and while we endeavour to keep the information up to date and correct, we make no representations or warranties of any kind, express or implied, about the completeness, accuracy, reliability, suitability or availability with respect to the website or the information, products, services, or related graphics contained on the website for any purpose. Any reliance you place on such information is therefore strictly at your own risk.

In no event will we be liable for any loss or damage including without limitation, indirect or consequential loss or damage, or any loss or damage whatsoever arising from loss of data or profits arising out of, or in connection with, the use of this website.

Through this website you are able to link to other websites which are not under the control of Carltons Solicitors. We have no control over the nature, content and availability of those sites. The inclusion of any links does not necessarily imply a recommendation or endorse the views expressed within them.

Every effort is made to keep the website up and running smoothly. However, Carltons Solicitors takes no responsibility for, and will not be liable for, the website being temporarily unavailable due to technical issues beyond our control.

Equality and Diversity Policy


Carltons Solicitors is committed to advancing equality and diversity within all its activities, as it believes this to be ethically right, socially responsible and a key part of maintaining a successful business.

We aim to provide a working environment and culture which values and recognises difference and to pro-actively tackle discrimination to ensure no individual or group is discriminated against.

Our aim is to ensure that equality is reflected in all the organisations policies, practices and strategic planning.


This policy applies to:

  • employees (including agency workers);
  • clients/customers;
  • stakeholders;
  • partner organisations;
  • consultants;
  • suppliers;
  • visitors;
  • volunteers;
  • work experience;

Policy statement

Carltons Solicitors is committed to:

  • becoming an organisation which is inclusive and values difference by striving to ensure that our services are relevant and accessible to all;
  • attracting, recruiting, developing and retaining talented people from all sections of the community to contribute at every level of the organisation;
  • recognising that people from different backgrounds and cultures bring new ideas, skills and experiences and perceptions that will help to increase organisational efficiency and improve services;
  • creating an environment that upholds the right of everyone to be treated with dignity and respect;
  • a robust action plan to tackle discrimination and to encourage respect for diversity;
  • ensuring employees of Carltons Solicitors will not be treated less favourably in relation to pay, terms of employment and/or organisational support because of their disability, race, ethnicity, nationality religion/belief (or lack thereof), gender, gender reassignment, family circumstance, marital or civil partnership status, sexual orientation, spent convictions, political beliefs, part time or fixed term status, trade union membership, pregnancy, social background or for any other characteristic;
  • listening to the needs of our staff, directors, stakeholders and clients;
  • maintaining an ongoing commitment to equality and diversity;
  • ensuring all staff have a responsibility to be proactive in promoting equality and diversity and tackling unlawful discrimination; and
  • encouraging equality of opportunity within our procurement processes.


Equality and diversity is about accepting and embracing people’s differences and creating an environment in which people can thrive. Harnessing differences creates a productive environment in which everyone feels valued, where talents are fully utilised and goals are achieved.

Equality is about treating people fairly and with respect, giving regard for others rights and wishes.

Diversity is ‘otherness’ or those human qualities present in other individuals and groups that are different from our own and outside the groups to which we belong. Diversity consists of visible and non-visible differences.

Diversity encompasses the properties and characteristics of a person. These include (but are not limited to) race, gender, gender reassignment, marital or civil partnership status, pregnancy or maternity, religion/belief (or lack thereof), age, disability, sexual orientation, socio-economic background and can also include other differences.


The Management team will review and update policies and action plans on race, gender, religion, disability, age, gender reassignment, sexual orientation and widening participation can be developed, progressed and monitored.

A full implementation plan has been developed, and will be acted upon. The Management Team will regularly monitor the implementation plan to ensure that the principles are put into practice and that actions are progressing.

Appropriate training and support for employees will be provided to ensure the successful implementation of this policy.

Every member of the firm will receive a copy of the policy and it will be available on request to any client and to the Solicitors Regulation Authority. A copy of this policy will also be available on Carltons Solicitors website and accessible to clients and interested parties.

The Managing Director is responsible for the policy and it will be reviewed annually.

The equality and diversity policy is available in hard copy, on the firm’s internal network and can be made available in a number of alternative formats upon request to a member of the Management Team.

Training will be provided to ensure awareness is raised and all staff has a clear understanding of our equality and diversity policy and their responsibilities in regard to this policy.


Any complaint will be taken seriously and dealt with in a timely and sensitive manner, in accordance with the relevant grievance and disciplinary procedures.

Staff should raise complaints in the first instance with their supervising director or the financial controller, however, should this not be appropriate other methods of raising complaints are available.

Carltons Solicitors will treat seriously and will take action where appropriate concerning all complaints of breaches of this policy made by employees of the firm, clients, barristers or other third parties. All complaints will be investigated in accordance with firm’s grievance, disciplinary and/or complaints procedures and the complainant will be informed of the outcome.

Monitoring and review

The policy will be reviewed annually to ensure it meets the requirements of the business and the diverse culture in which we operate.

The implementation plan will be reviewed quarterly. It will be a ‘live’ document which will grow and change to ensure the organisation meets its policy standards.

All policies and processes will be reviewed/impact assessed regularly to ensure they do not intentionally or inadvertently discriminate against, disadvantage or exclude any group(s) of people or individuals.

We are committed to monitoring our staff profile and services across a range of diversity issues.


The Managing Director is responsible for:

  • ensuring Carltons Solicitors meets all its legal and regulatory obligations;
  • with assistance from directors, ensuring that all action plans, strategies, processes and practices arising out of this policy are successfully implemented;
  • making sure the policy is continually reviewed and all staff attend appropriate training to ensure successful implementation of the policy;
  • providing a high profile lead on issues related to the policy;
  • ensuring that all staff are aware of their responsibilities and accountabilities under the policy; and
  • ensuring that disciplinary action is taken against anyone who participates in discriminatory behaviour or practices.

Directors are responsible for:

  • implementing the policy and its related action plans, strategies, practices and/or processes;
  • ensuring staff are aware of their responsibilities and providing appropriate training and support;
  • taking appropriate action against anyone who discriminates;
  • ensuring external partners are aware of the policy;
  • not discriminating unfairly if involved in recruitment, selection, promotion and/or management of staff; and
  • Delivering effective services which meet the needs of our clients.

Staff are responsible for:

  • fostering an environment where compliance with the policy is integral to their work;
  • fostering an environment where individual goals can be pursued without fear or intimidation;
  • not victimising any person who has complained, including complaints of unlawful harassment or discrimination, or who has given information in connection with a complaint; and
  • being proactive in their approach to tackling discrimination in the workplace and for responding to situations appropriately, ensuring that the equality and diversity policy is put into practice.

Carltons Solicitors are generally free to decide whether to accept instructions from any particular client but any refusal to act will not be based upon any of the forbidden grounds.

Carltons Solicitors will take steps to meet the different needs of particular clients arising from its obligations under the anti-discrimination legalisation (such as the Disability Discrimination Act) and the solicitors Anti-Discrimination Rule 2004. In addition, where necessary and where it is permitted by the relevant antidiscrimination legislation (for example, provisions relating to positive action or exemptions) the firm will seek to provide services which meet the specific needs and requests arising from clients ethnic or cultural background; gender; responsibilities as carers, disability; religion or belief; sexual orientation or other relevant factors.

Barristers and other experts

Barristers and experts should be instructed on the basis of their skills, experience and ability. The firm will not discriminate in the instruction of barristers and/or experts on any of the above grounds.

A clients request for a named barrister or expert should be complied with, subject to the firm’s duty to discuss with the client the suitability of the barrister or expert and to advise appropriately. The firm has a duty to discuss with the client any instruction by the client as to choice of barrister or expert that is based on any of the above grounds.

The firm will endeavour to persuade the client to modify instructions that appear to be given on discriminatory grounds. Should the client refuse to modify such instructions, the firm will cease to act unless the preference can be justified under the permitted exceptions referred to as ‘genuine occupational requirements’ of ‘genuine occupational qualifications’.

Anti-Bribery Policy

The Bribery Act 2010 came into force on 1 July 2011.

The purpose of the policy is to ensure that Carltons Solicitors and its employees comply with the anti-bribery policy, bribery laws and best practice in combating corruption in all of the countries and business areas in which Carltons Solicitors operates. This policy is part of Carltons Solicitors commitment to high legal and moral standards in all of its business activities.

Carltons Solicitors has policies and procedures in place to prevent bribery. All relevant staff have received training, and in the specific areas where we have identified risk of bribery we have implemented policies which are regularly monitored to ensure compliance with the Act.

Should you have any queries please contact the Managing Director.

Anti-Facilitation of Tax Evasion Statement

Carltons Solicitors is committed to upholding the rule of law and conducting its business both ethically and with integrity.

We recognise that it is important to cultivate a positive culture of compliance within the firm and take a zero tolerance approach to tax evasion and the facilitation of tax evasion.

We support our culture and approach by having an internal policy which prohibits tax evasion and the facilitation of tax evasion, which is communicated and enforced throughout our firm.

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Carltons Solicitors Ltd is authorised and regulated by the Solicitors Regulation Authority No. 533415.
Registered in Engand & Wales no 069 49077.

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