All professional conduct Flashcards
What are the 7 principles?
- In a way the uphold the constitutional principle of the rule of law and the proper administration of justice
- In a way that upholds public trusts and confidence in solicitors’ profession
- With independence
- With honesty
- With integrity
- In a way that encourages equality, diversity and inclusion
- In the best interests of each client
What are the SRA requirements?
- To keep client money safe
- Not to take unfair advantage of clients
- To ensure solicitors instructions reflect clients wishes
- To address equality and divert
- To provide a clear complains procedure
What must you ensure throughout?
- Service you provide is competent and in timely manner
- Maintain competence to carry out your role and keep your professional knowledge and skills up to date
- Keep up to date with the law and regulation governing the way you work
Supervising client matters - You remain responsible for work carried out through junior lawyers
- Need to effectively supervise work being done for clients
What is a CDD and when should it be carried out?
CDD – requirement of money laundering regulations
- You MUST CARRY OUT A CDD when
- Establishing a business relationship
- Carrying out an occasional transaction
- If you suspect money laundering or terrorist financing
It means identifying client and verifying on basis of documents, data or information from a reliable source.
- Identifying through original passport
- Conducting electronic verification
- Obtaining info from regulated people
Personal obligation - can’t rely on another partners word.
Requirement for conflict check?
Requirement to carry out a conflict heck
- Before you take on new instruction need to check whether the work you are proposing for client conflicts with any work your firm is doing for another client – or if conflicts wit own interests
- Involves checking for an abroad office
What does a conflict check involve?
What does a conflict check involve
- A search should be carried out against
- Client’s name
- Clients company number
- Names of any counter parties to the matter
May also extend to
- Company name and number of companies being brought in
- Name of directors
- Name of the matter
What is a client care letter?
Called a letter of engagement – is sent to client at beginning of a matter setting out terms on which the solicitor will carry out the work for the client
- Not obligatory
- But it is obligatory to keep client informed about all aspects as matter progresses
Contents of a client care letter?
- Confirmation of your clients’ instructions and options
- Identification of client’s objectives
- Explanation of issues and options available tot hem
- Agreement on next steps
- Agreement on an appropriate level of service
- Explanation of how client can complain if unhappy with service
- Details of to whom they should complain
- Details of the firms’ complaints procedure
Situations when you cannot accept instructions?
Breaching law or codes
- CANNOT ACCEPT INSTRUCTIONS
When you cannot provide a competent service
- CANNOT ACCEPT INSTRUCTIONS
When not authorised to act on client’s behalf
- CANNOT ACCEPT INSTRUCTIONS
What does equality, diversity and inclusion mean?
- Equality – a level playing field
- Diversity – different backgrounds
- Inclusions – enraging everyone to participate
So like wearing a hijab. ITS NOT AN ABSOLUTE RIGHT
But principle 6 - equanimity, diversity and inclusion means entitled to practice their religion and read. A policy that prohibits this is discriminatory.
Best course of action is to speak to supervisiors on behalf of a person to spare them discomfort. Reasonable adjustments should be made to accommodate beliefs.
What is an undertaking?
- A statement, given orally or in writing whether or not it includes word undertake to someone who reasonably places reliance on it, or does or refrains from doing something in return.
- Failure to perform – serious disciplinary offence
- Can be given by any individual
- Does not have to be in writing
Dealings with court?
Misleading court
- Not normally guilty of misconduct if inadvertently misled court
- If in course of dealings become aware, they must with clients consent immediately inform court
- If client does not consent – MUST STOP ACTING
Introductions and referrals?
Introduction is where:
- Third party introduces a client to you in return for payment
Referrals
- Similar principle
In regards to booth
- Clients should be informed of any financial or other interests that you have in referring client to another person
- Clients are informed of any fee sharing arrangement
- The fee sharing agreement is in writing
- Do not receive payments for referrals or introductions if subject of criminal proceedings
Personal injury cases
- PROHIBITS solicitors from referring or receiving referrals in respect of personal injury claims
- Onus is on you/law firm to prove that any such payments was made in consideration for provisions of services or for any genuine reasons other than a referral fee
Own conflict of interest?
- CANNOT ACT – no EXCEPTIONS
- Financial interests of yours or someone close to you
- A personal or business relationship of yours
- Your role as an employee
- Your own conduct as a firm or individual
Conflicts of interest?
- A situation where separate duties to act in interest of two or more clients
- Key elements
- Conflict has to arise out of same or related matters
- Duties owed to your client’s conflict.
Substantially common interest EXCEPTION - This is the first exception
- where there is a clear common purpose between clients and a strong consensus on how this is to be achieved
- Clear common purpose
- Strong consensus on how to achieve common purpose – so like little negotiations.
Competing for same objective exception - Second EXCEPTION
- Two or more clients competing for an objective – which if achieve will make objective unattainable for another client
- Very rare
Conditions for both exceptions
- All clients have been given informed consent
- Where appropriate, put in effective safeguards to protect client’s confidential info
- You are satisfied its reasonable for you to act for all clients
