Code of Conduct for Solicitors Flashcards
1.1 Discrimination and what can you not allow your personal views to do?
Do not discriminate, do not allow your personal views to affect your professional relationships.
1.2 Can you abuse your position in relation to clients or others?
Do not abuse your position by taking unfair advantage of clients or others.
1.3 How must undertakings be performed?
Undertakings must be performed:
Ø Within an agreed timescale; OR
Ø Within a reasonable amount of time, if no timescale has been agreed upon.
1.4: Can you mislead or attempt to mislead? Who is this in relation to and how would you do this?
Do not mislead or attempt to mislead:
Ø Your clients;
Ø The court; or
Ø Others…
Ø …either by your own actions or being complicit in others’ actions.
- Evidence - what 4 things can’t you do? E,E,W,S
Cannot:
-2.1 Tamper with, or attempt to tamper with evidence
-2.2 Influence evidence
-2.3 Induce or bribe witnesses
-2.4 Ensure statements to court are properly arguable: Only make assertions or put forward statements,
representations or submissions to the court or others which are properly arguable.
2.5 Contempt of Court
Ø Do not place yourself in contempt of court.
Ø Comply with court orders which place obligations on you.
- (2.6-7) The Court - What can’t you do in regards to time and what should you be drawing the court’s attention to?
2.6: Do not waste the court’s time.
2.7: Draw the court’s attention to relevant material cases / law.
Ø Must draw the court’s attention to:
§ Relevant case
§ Statutory provisions; and
§ Procedural irregularities;
§ Of which you are aware, and which are likely to have a material effect on the outcome of the proceedings.
Ø Note that this duty does not require you to draw the court’s attention to evidence against your client’s case.
3.1 When should you act for a client? Part 1
Act only where you have instructions from the client (or someone properly authorised by them).
If you have reason to suspect that the instructions do not represent your client’s wishes:
Ø Do not act;
Ø Unless you have satisfied yourself that they do.
3.1 Continued Part 2, What happens when you have the authority to act for your client?
Where you do have the authority to act:
Ø You are subject to the overriding obligation to protect your client’s best interests (notwithstanding the fact that you may be unable to ascertain your client’s instructions).
3.2 You must ensure the service you provide to clients is C_______ and delivered in a T____ M_______
Competent
Timely manner
3.4 What client’s attributes should you take into account. (generally - 3 things)
- Attributes
- Needs
- Circumstances
- Receiving a financial benefit as a result of taking instructions from a client - what do you have to do?
You must properly account to clients for any financial benefit you receive as a result of their instructions,
Ø Except where they have agreed otherwise.
Not however an obligation to pay them.
4.3 Can you personally hold clients monies?
Do not personally hold client money unless:
Ø You are acting in circumstances permitted under Reg 10.2(b)(vii) of the Authorisation of Individuals Regulations.
§ This only applies where you:
* Are a sole practitioner;
* Holding the money for disbursements; and
* Have informed the client in advance of how and where the money would be held.
Ø You work in an authorised body; or
Ø You work in an organisation of a kind prescribed by the SRA.
5.1 When the rules on referrals apply?
Where there is:
Ø A referral of a client by you to another person; or
Ø A referral to you by any third party who introduces business to
you; or
Ø There is a third party with whom you share your fees.
5.1(a)Do you have to tell clients about referrals?
Clients must be informed of any financial or other interest in the referral which:
§ You; or
§ Your business or employer; or
§ An introducer;
has
