Code of Conduct and Principles Flashcards
Can you fail to perform an undertaking?
No, to do so is a breach of 1.3 ‘Maintaining trust and acting fairly’
Say the other side is a litigant in person and has a poorly prepared defence, what would you do?
To take advantage would be a breach of 1.2 by abusing your position and taking unfair advantage of an unprepared opponent (maintaining trust and acting fairly), so try to refer them to an independent solicitor.
Say if a client tells you they’re guilty but want to plead not guilty, what do you do?
In line with 1.4, in order to not mislead the court, you refuse to act if they wish to proceed on this basis.
What are the guidelines surrounding evidence and witnesses?
You must not tamper with evidence nor should you influence a witness to act in a certain way.
Say if your client wishes to put forward a completely fanciful position that you are aware won’t work, what do you do?
You should refuse to proceed; this would breach 2.4 (To only put forward statements which are properly arguable) and 2.6 (to not waste the courts time)
Say if the court hasn’t identified a case that is fatal to your argument, what do you do?
You draw the court’s attention to the said case as it will have a material effect on the proceedings, consistent with 2.7.
Can you act for a client if someone else is giving instructions?
Yes but only if that person is properly authorised to do so and you are satisfied the instructions represent the client’s wishes (3.1).
If a client is ill and you can’t receive direct instructions, can you act?
Yes as long as you’re satisfied you are acting in the client’s best interests.
Can you act if there is an own interest conflict?
No!
What are the exceptions to a conflict of interest?
- Clients have a substantially common interest (e.g. buyer and lender on standard terms);
- Clients competing for the same objective
In both scenarios, clients must give their informed consent.
What are your confidentiality obligations?
You can only reveal confidential information when the owner of said information consents.
What are your disclosure obligations?
You must disclose all material information to your client unless it isn’t permitted by law, is confidential, or your client consents to it not being disclosed to them
What happens when your duty of disclosure and confidentiality conflict?
You cannot disclose the information unless the client consents to not getting it or the initial client says you can disclose it.
Can you act for a client that has an adverse interest to a current or former client?
Not unless:
(A) there is no risk of disclosure of confidential information; or
(B) the current or former client consents, in writing, to you acting for the client.
What are the 7 SRA Principles?
1) Act in a way that upholds the constitutional principle of the rule of law, and the proper administration of justice;
2) Act in a way that upholds public trust and confidence in the profession;
3) Act with independence;
4) Act with honesty;
5) Act with integrity;
6) Act in a way that encourages equality, diversity and inclusion;
7) Act in the best interests of each client.
