Conduct for Solicitors

Question 1

What is acting with integrity and how is it different from acting with honesty?

Answer 1

Acting with integrity requires you to be scrupulous, careful, and accurate.

It is broader than acting with honesty.

Question 2

How do you comply with your duty to not unfairly discriminate by allowing personal views to affect your professional relationships?

Answer 2

You do not allow your personal views in any circumstances affect you providing legal services or your service to your client

Question 3

How do you comply with your duty to not take advantage of clients or others?

Answer 3

You do not take advantage of your client or other party’s lack of knowledge - can suggest other party gets legal representation if they are failing to represent themselves properly

Question 4

Why is the duty to act in a way to encourage equality, diversity and inclusion important?

Answer 4

• ensures effective administration of justice - a diversity of views and approaches, whether in law firms or the judiciary, supports an independent justice system and maintain the rule of law
• improves access to services - some people may be more likely to seek legal help from solicitors with whom they share some social or cultural characteristics
• allows the most talented people to become solicitors and progress in careers which helps to maintain high standards

Question 5

What is the SRA’s guidance to solicitor’s on equality, diversity and inclusion?

Answer 5

Solicitors must

• provide reasonable adjustments to disabled clients and employees to make sure they are not at a substantial disadvantage compared to those that are not disabled (costs of providing these adjustments cannot be passed on to others)
• encourage diversity at all levels of the workforce
• collect, report, and publish data about diversity of the workforce
• uphold the reputation of the profession in professional and personal life
• treat everyone fairly and with respect and dignity
• be fair and inclusive in their interactions with people they meet and deal with in the course of their work

Question 6

What must firms do in relation to equality, diversity and inclusion?

Answer 6

They must have a complaints procedure.

Any complaints must be dealt with promptly, fairly and effectively

Question 7

What is an undertaking?

Answer 7

An undertaking is a statement given orally or in writing to someone who reasonably places reliance on it, that you or a third party will do something or cause something to be done or refrain from doing something.

Question 8

Does an undertaking need to include the work ‘undertaking’ or ‘undertake’?

Answer 8

No

Question 9

When are undertakings used?

Answer 9

They are used to overcome practical difficulties in areas of practice and ensure the smooth path of a transaction or speed up progress

Question 10

Why are undertakings important?

Answer 10

Undertakings are important as solicitors are obliged to perform all undertakings given by them within an agreed timescale or within a reasonable amount of time

Question 11

Must an undertaking be given by a solicitor?

Answer 11

No - it can be given by any individual in a law firm provided it can be reasonably relied upon.

Can range from secretary to partner.

Question 12

Does an undertaking have to be in writing?

Answer 12

No - can be oral

Question 13

What is the consequence of failing to perform an undertaking?

Answer 13

Can be a very serious disciplinary offence and the SRA will investigate for professional misconduct

Question 14

What form should undertakings take?

Answer 14

No prescribed form but undertakings should be SMART:

• Specific - be clear as to what is involved
• Measured - it must be capable of quantification
• Agreed - both sides must agree the wording
• Realistic - within solicitor’s control
• Timed - must not be unlimited duration

Question 15

How will any ambiguity in an undertaking be construed?

Answer 15

It will be construed in favour of the recipient

Question 16

What does it mean to say a solicitor is an ‘officer of the court’?

Answer 16

It means a solicitor must at all times conduct themselves in a manner which befits a member of the profession with an overriding duty to the court.

Question 17

A solicitor has a duty to not mislead the court. What should a solicitor do if they realise they have misled the court?

Answer 17

They must with their client’s consent, immediately inform the court.

If the client does not consent, the solicitor must stop acting for them.

Question 18

What happens if a solicitor is aware that their client has misled the court?

Answer 18

They must cease to act for that client unless they disclose the truth to the court.

Question 19

How might you mislead the court?

Answer 19

• draft documents or construct facts supporting your client’s case which are not properly arguable
• make any allegation of crime, misconduct or fraud unless it material to your client’s case and you have reasonable grounds for doing so
• call a witness whose evidence you know is untrue

Question 20

What other duties do solicitor’s owe to the court?

Answer 20

• you do not tamper with evidence or attempt to do so
• you do not seek to influence the substance of evidence, including generating false evidence or persuading witnesses to change their evidence
• you do not provide any benefit to witnesses dependent upon the nature of their evidence or the outcome of the case
• you only make assertions or put forward statements, representations or submissions to the court or others which are properly arguable
• you do not place yourself in contempt of court and you comply with court orders which place obligations on you
• you do not waste the court’s time
• you draw the court’s attention to relevant cases and statutory provisions or procedural irregularities of which you are aware and which are likely to have a material effect on the outcome of proceedings

Question 21

What are the elements of the duty to provide clients with a competent service in a timely manner?

Answer 21

• must ensure you are able to do the work
• must make sure work is checked by supervisor
• if you do not know how to do it, you get help

Question 22

Must you maintain you knowledge and skills and keep them up to date?

Answer 22

Yes - fundamental tenet of providing a competent service.

Question 23

Must you consider and take account of your client’s attributes, needs and circumstances?

Answer 23

Yes - tailor service accordingly

Question 24

What obligations do managers and supervisors have in relation to competency of work?

Answer 24

They must ensure that those who they are supervising are competent to do the work.

They will be accountable for any work done.

They are responsible for making sure those they supervise keep their knowledge and skills up to date.

Question 25

What is an introduction?

Answer 25

An introduction is where a third part introduces a client to you in return for you making a payment to that third party

Question 26

What is a referral?

Answer 26

A referral is an arrangement with a third party to whom you may refer or introduce clients to.

Question 27

Are referrals or introductions allowed for personal injury claims?

Answer 27

No unless the payment is genuinely for services provided.

Onus on you to prove any payment was for services provided.

Question 28

What are the rules in relation to introductions and referrals?

Answer 28

Only allowed if

• in clients best interest

Clients must be informed of

• any financial or other interest introducer has in referring to you
• any fee sharing arrangement relevant to their matter

Other rules:

• not allowed to pay introducer for referring clients who are subject to criminal proceedings or whose costs are partly or wholly publicly funded
• arrangements with introducers must be in writing

Question 29

What is the interaction between introductions/referrals and the Bribery Act 2010?

Answer 29

It is illegal for a UK citizen or resident to pay or receive a bribe directly or indirectly. Need to make sure any introductions/referrals do not amount to a bribe.

LLP/companies can also be guilty under act where bribe paid on their behalf.