CH. 1 Part E: - Professional Conduct Flashcards
The ethical and professional standards which solicitors are expected to abide by are set out where…
In the ten SRA principles (the ‘Principles’) and the Outcomes contained in the SRA Code of Conduct 2011 (the ‘Code’).
What are Indicative Behaviours (‘IBs’)?
These are non-mandatory behaviours and are issue-specific situations which tend to suggest compliance (or non-compliance) with the relevant Outcome(s).
The Outcomes and IBs in Chapter 1 of the Code deal with…
client care - and set out the standards which are expected of solicitors when taking on clients, providing information about costs and complaints handling.
Outcome 3.5 of Chapter 3 of the Code (O(3.5)) provides that…
conflict of interests - you should NOT act for more than one client on a matter if there is a conflict of interests or a significant risk of a conflict of interests between clients.
In litigation cases, the only exception to the duty not to act in conflict cases is set out in…
O(3.6) – where the clients have a substantially common interest. However, IB(3.2) makes it clear that if you do not decline to act for at least one of two parties whose interests are in direct conflict (like a claimant and defendant in litigation), it is extremely unlikely that you will be able to comply with the Chapter 3 Outcomes.
Chapter 4 of the Code concerns…
confidentiality and disclosure
O(4.1) sets out the duty of confidentiality and O(4.2) explains the duty of disclosure.
What are ‘information barriers’?
you have a duty not to put confidentiality at risk by acting, but there are exceptions to this so that you may continue to act in certain circumstances with the client’s consent, and sometimes without the client’s consent, provided appropriate safeguards called ‘information barriers’ are put in place to protect confidential client information.
Chapter 5 of the Code concerns…
Your client and the court
If, during the course of proceedings the solicitor became aware that s/he had inadvertently misled the court, s/he must…,
with his/her client’s consent, immediately inform the court. If the client does not consent the solicitor must stop acting: IB(5.4).
When dealing with witnesses, the default position is…
that a solicitor must not attempt to influence a witness when taking a statement (IB(5.10)), nor must a solicitor tamper with the evidence of a witness or attempt to pressurise the witness into changing their evidence (IB(5.11)).
In addition to the Code, s. 50(1) Solicitors Act 1974 provides…
that a solicitor is an officer of the court with an overriding duty towards the court.
Chapter 11 of the Code concerns…
Relations with 3rd parties
The Outcomes and IBs in Chapter 11 of the Code cover issues such as…
not taking an unfair advantage of your client,
the agreement of costs with another party (e.g. pursuant to an award of costs by a court) and contacting the other party to a matter.
