Ethics 1:

Question 1

What are the seven mandatory principles?

Answer 1

A solicitor must act:

1. In a way that upholds the constitutional principles of the rule of law, and the proper administration of justice.
2. in a way that upholds public trust and confidence in the profession and in legal series proved by authorised persons.
3. With independence
4. With honesty
5. With integrity
6. In a way that encourages equality, diversity and inclusion.
7. In the best interest of the client.

Question 2

What happens if two or more of the mandatory principles come into conflict?

Answer 2

Safeguarding the wider public interest takes precedent over the individual clients interests.

Where relevant the solicitor should inform the client of the circumstances in which their duty to court and other professional obligations outweigh the duty to the client.

Question 3

What are the obligations of solicitors and firms in relation to discrimination?

Answer 3

They should not unfairly discriminate by allowing personal views to affect professional relationships or way in which services are provided.

Firms must monitor, report and public workforce diversity data as prescribed by SRA.

Question 4

How might a solicitor be guilty of misleading?

Answer 4

Cannot mislead:
- court
- clients
- others

Can be violated by:
- act or omission; or
- being complicit in act or omission of clients/others

Question 5

What are undertakings?

Answer 5

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

Can be given by any member of staff

Question 6

What are the requirements once an undertaking is given?

Answer 6

You must perform all undertakings given by you within the agreed timescale

Firm has same duty for undertakings given by anyone in the firm

If no agreed timescale then within reasonable amount of time

Question 7

What happens if an undertaking is given that is dependant on future event which does not happen?

Answer 7

Once it becomes apparent that future event will not happen must notify recipient.

Question 8

What systems should firms have in regard to undertakings?

Answer 8

Best practice to:
- record all undertakings and when they have been discharged

Question 9

What are the consequences of breaching an undertaking?

Answer 9

Court can enforce it and the party to whom it was given may seek compensation for any loss incurred.

Professional bodies do not have power to enforce it

Question 10

How might you breach duty not to waste the courts time?

Answer 10

If assertions, representations or statements made to court or others are not properly arguable.

Question 11

What should you do if the court or opponent does no mention relevant law or there is a procedural irregularity?

Answer 11

Have duty to draw the courts attention to relevant law which are likely to have material effect on the outcome of the proceedings.

Even if this harms your case.