Code of Conduct Compliance Flashcards
901.1: What happens if a barrister fails to comply with training, insurance and administration requirements?
Any failure by a barrister to comply with the provisions of paragraph 202 (a) to (d), 203(1)(a), 204(b), 402, 403.2(b)(c) and (d), 404, 405, 406, 701, 709, 801(a), 804 or 905(a)(i), (d) or (e) of this Code or with the training requirements imposed by the Bar Training Regulations in force at the date of his Call to the Bar or with the CPD Regulations or the Practising Certificate Regulations shall render him liable to a written warning from the Bar Standards Board and/or the imposition of a fixed financial penalty of £300 (or such other sum as may be prescribed by the Bar Standards Board from time to time) or any financial penalty prescribed by the said Regulations for non-compliance therewith. Liability under this paragraph is strict.
901.2: What happens if a barrister doesn’t pay a financial penalty within the time directed?
Any failure by a barrister to pay a financial penalty within the time prescribed by the Regulations or stipulated by the Bar Council (or any extension thereof) shall constitute professional misconduct.
901.3: What is a barrister’s right to appeal an infringement decision and what is the time limit for bringing it? What effect does an appeal have on any penalty?
In the event that a barrister is given a written warning by the Bar Council, or a financial penalty is imposed upon him for an infringement of the aforementioned provisions of the Code, the barrister shall have a right of appeal to a panel under the provisions of paragraph 23(3) and (4) of the Disciplinary Rules.
The time for bringing such an appeal shall be 28 days from the date upon which the written warning or notice seeking payment of the penalty is deemed to have been received by the barrister.
However, unless the Bar Council agrees or the appeal panel otherwise rules, an appeal shall not operate as a suspension of the requirement to pay the financial penalty or an extension of the time for so doing.
901.4: What is the result of a failure by a barrister to comply with 202 of the Code and in what circumstances?
Any failure by a barrister to comply with the provisions of paragraph 202 of the Code shall constitute professional misconduct if the barrister concerned has failed to take the necessary action to cure any relevant non-compliance with the preconditions to practise set out therein, or has failed to pay any financial penalty imposed on him within any time limit prescribed by the relevant Regulations or specified by the Bar Council (or any extension thereof).
901.5: What is the effect of serious failure to comply with provisions mentioned in 901.1 and what does serious failure mean?
(1) Any serious failure to comply with the provisions of the Code referred to in paragraph 901.1 above shall constitute professional misconduct.
(2) A failure to comply with those provisions may be a serious failure:
a. due to the nature of the failure;
b. due to the extent of the failure;
c. because the failure in question is combined with a failure to comply with any provision of the Code (even if not mentioned in paragraph 901.1);
d. if the barrister has previously failed to comply with the same or any other provision of the Code (even if not mentioned in paragraph 901.1).
901.6: What is the result if a barrister has a further failure after 2 previous failures within 3 years? In what circumstances must the 2 previous failures be?
If a barrister is given two or more separate written warnings by the Bar Council in a period of three years for infringement of any of the provisions of the Code referred to in paragraph 901.1, or is subjected to an automatic financial penalty for any failure to comply with any such provision of the Code on two separate occasions within a period of three years, then any further failure by him to comply with the provisions of the Code within a period of two years after the later of the written warnings or financial penalties shall constitute professional misconduct even if that failure, taken by itself, would not otherwise be regarded as professional misconduct.
901.7: What effect does a failure by a barrister to comply with provisions not in 901.1 have?
Any failure by a barrister to comply with any provision of this Code other than those referred to in paragraph 901.1 above shall constitute professional misconduct.
901.8: What is the effect if a barrister is convicted of misconduct by another Approved Regulator?
It shall be misconduct under this Code for a barrister to be convicted of misconduct under the rules of another Approved Regulator and the barrister shall be liable to disciplinary action by the Bar Standards Board accordingly.
902: What occurs if a barrister engaged in dishonest/discreditable conduct before or made a false declaration on Call to the Bar?
If the declaration made by a barrister on Call to the Bar is found to have been false in any material respect or if the barrister is found to have engaged before Call in conduct which is dishonest or otherwise discreditable to a barrister and which was not, before Call, fairly disclosed in writing to the Benchers of the Inn calling him or if any undertaking given by a barrister on Call to the Bar is breached in any material respect that shall constitute professional misconduct.
903: What rules are a barrister subject to?
A barrister is subject to:
(a) the Complaints Rules;
(b) the Disciplinary Tribunals Regulations ;
(c) the Summary Procedure Rules;
(d) the Hearings before the Visitors Rules;
(e) the Interim Suspension Rules;
(f) the Fitness to Practise Rules;
(g) the Adjudication Panel and Appeals Rules which are concerned with inadequate professional service.
904: When may a barrister be directed to provide redress to a lay client?
Pursuant to the Rules referred to in paragraph 903 a barrister may be directed to provide redress to a lay client for inadequate professional service whether or not such inadequate professional service also constitutes professional misconduct.
905(a): What must a barrister do in relation to the Bar Standards Board?
A barrister must:
(a) if he is practising, or the Bar Standards Board has reason to believe may be practising, as a barrister:
(i) respond promptly to any requirement from the Bar Standards Board for comments on or documents relating to the arrangements made for administering his practice and chambers or office whether or not any complaint has been received or raised arising out of those arrangements;
(ii) permit the Bar Council or Bar Standards Board or any agent appointed by it to inspect forthwith and on request and at any time which is reasonable having regard to the circumstances and the urgency of the matter any premises from which he practises or is believed to practise as a barrister, the arrangements made for administering his practice and chambers or office, and any records relating to such practice and to the administration of his chambers or office.
905(b): When must a barrister report to the Bar Standards Board related to offences?
A barrister must:
(b) report promptly to the Bar Standards Board if:
(i) he is a manager of a Recognised Body which is the subject of an intervention by the Approved Regulator of that body;
(ii) he is charged with an indictable offence;
(iii) he is convicted of any relevant criminal offence;
(iv) he is charged with a disciplinary offence by another professional body; or
(v) he is convicted of a disciplinary offence by another professional body;
905(c): When must a barrister report to the Bar Standards Board related to financial status?
A barrister must:
(c) report promptly to the Bar Council if;
(i) bankruptcy proceedings are initiated in respect of or against him;
(ii) directors disqualification proceedings are initiated against him;
(iii) a bankruptcy order or directors disqualification order is made against him; or
(iv) if he enters into a individual voluntary arrangement with his creditors;
905(d): What must a barrister do and when if there is a complaint to the Bar Council or otherwise an inquiry from them?
A barrister must:
(d) where a complaint about a barrister has been made to or by the Bar Council, or where the Bar Council has reasonable grounds for believing that a breach of this Code may have occurred or is about to occur, or where circumstance referred to in sub-paragraph (b) or (c) above has been reported to the Bar Council, respond promptly to any request from the Bar Council for comments or information on the matter whether it relates to him or to another barrister;
