2. SRA Principles Flashcards
The SRA Standards and Regulations begin with the SRA ……..
Principles
In the event that the Principles come into conflict, the introduction makes it clear that it is those Principles that safeguard the wider public interest (such as the rule of law, and public confidence in the profession) which take precedence over the interests of an individual client.
Consequently, clients should be made aware that there may be …… in which the
solicitor’s wider professional duties …… the solicitor’s duty to the individual.
Circumstances
Outweigh
Principle 1 requires a solicitor to act in a way that …… the constitutional principle of the
rule of law, and the proper ……. of justice.
Upholds
Administration
Case law name for Principle 1- Offence of attempted murder - struck off from being a member of the court
SRA v Farrimond (2018)
All solicitors are concerned with the administration of justice, but Principle 1 will be of
particular significance in relation to the ….. of litigation and the duties owed by a solicitor
to the court. For example, a solicitor who, in presenting the client’s case, …… the court
will be in breach of Principle 1. The Principle applies, however, not only in relation to the court
but also to clients and to third parties with whom the solicitor may deal.
Conduct
Misleads
Principle 2 requires a solicitor to act in a way that …… public trust and confidence in the
solicitors’ profession and in legal services provided by authorised persons.
Upholds
In …. v ……. [1994] 1 WLR 512 Sir Thomas Bingham MR said, ‘A profession’s most valuable
asset is its collective reputation and the confi dence which that inspires.’
Bolton v Law Society
The behaviour of the solicitor does not need to be …. in nature in order to fall foul of
Principle 2. The sending of offensive communications has been a cause for concern in recent
years and has resulted in the SRA issuing specific guidance on the topic in the form of a
warning notice. So, for example, sending ……. emails to the opponent’s solicitor and
making ….. social media posts in a personal capacity are both examples of acts by a
solicitor likely to breach Principle 2 (see 9.5.4).
Criminal
Derogatory
Offensive
Principle 3 requires a solicitor to act with …….
‘Independence’ in this context means a …. own and the ….. independence
Michael is a solicitor specialising in litigation. Michael is asked to act for Mr Smith, who
wishes to sue Green Ltd for a substantial amount of money. The case, if successful, would
also generate bad publicity for Green Ltd. Michael holds a significant number of shares in
Green Ltd.
Should Michael act for Mr Smith?
Michael must ensure that his independence is not compromised. If the case is successful,
this may well lead to a substantial reduction in the share price of Green Ltd, and Michael
would stand to lose out financially in respect of his shares.
In these circumstances Michael could not provide ….. and …… advice. Michael
cannot act with independence and so he must therefore decline to act.
Independence
Solicitor’s
Firms’s
Unbiased and Objective
Principle 4 requires a solicitor to act with …….
The Principle is applicable not only to a solicitor’s professional practice but also to life ….
practice.
Honesty
Outside
In determining whether a solicitor’s conduct is dishonest, the
SRA adopts a two- stage test:
(1) What was the solicitor’s genuine ……. or ……. as to the facts at the time?
There is no requirement for the belief to have been objectively reasonable. However, reasonableness or how other solicitors may have acted can be an indicator of whether the belief was genuine.
(2) In view of the solicitor’s knowledge or belief at the time, was their conduct dishonest by
the standards of ….. ….. ….. ?
This is an objective test. There is no requirement that the solicitor knew or understood that
their behaviour was dishonest.
Knowledge or belief
Ordinary decent people
Principle 5 requires a solicitor to act with ……..
- displaying a wilful or reckless …… of standards, rules, legal requirements and obligations or ethics,
- taking unfair ……. of clients or third parties,
- knowingly or recklessly causing harm or distress to another,
- …… clients or third parties.
Integrity
Disregard
Advantage
Misleading
Principle 6 requires a solicitor to act in a way that encourages ……., …….. and …….
Equality, Diversity and Inclusion
Principle 6:
Equality – treating people fairly ensuring equal ……… and not discriminating
because of an individual’s …….;
Diversity – encouraging and valuing people with a broad range of …….. background, knowledge, skills and experiences; understanding and respecting these individual differences;
Inclusion – acceptance and encouraging everyone to ……. and contribute.
Opportunities / characteristics
Different
Participate
Principle 7 requires a solicitor to act in the ….. ……. of each client.
This Principle derives from the common law in that it reflects the fact that a solicitor is said to
be in a …….. position in relation to a client
Best interest
Fiduciary
