Ethics and Professional conduct Flashcards
What are the seven mandatory principles?
A Solicitor must act:
In a way that upholds the constitutional principle of the rule of law, and proper administration of justice.
In a way that upholds public trust and confidence in solicitors’ profession and in legal services provided by authorised persons.
With independence.
With honesty.
With integrity.
In a way encourages equality, diversity, and inclusion.
In the best interest of each client.
Disabled clients and employee
Solicitors must make reasonable adjustments for disabled clients and employees and must not pass on the costs of these adjustments
Performance of undertakings
You must performance all undertakings withing the agreed timescale. If no timescale is agreed, you must perform within a reasonable amount of time.
Breach of undertakings
Solicitor is personally bound to comply with an undertaking whether orally or writing. This can be enforced by the court, Party whom the undertaking was given may seek compensation for any loss incurred.
Evidence and Witnesses
Must not misuse of tamper with evidence or attempt to do so. Must not influence the substance of evidence.
Respect for the court
How the solicitor must act with courts:
Must not waste court’s time.
Must comply with all court orders
Must draw the court’s attention to relevant cases and statutory provisions
Service and Competence
only act for a client on instructions from them or from someone properly authorised to provide instructions:
Reason to suspect that authorised person’s instructions don’t reflect your client’s wishes, you must not act unless you are satisfied that they do.
Ensure service you provide to client is competent and delivered in a timely manner. Must maintain competence to carry out role.
Must consider and take account of each client’s attributes, needs, and circumstances.
In acting as a supervisor or manager you must remain accountable for work carried out through them and effectively supervise work being done for clients.
Accounting for financial benefit
If receiving a client benefit due to a client’s instructions, you must properly account to the client for the financial benefit.
Holding client money
You must not personally hold client money in your own business account unless it relates to advance payments of fees and expenses, and you inform the clients in advance of where and how the money will be held.
Referrals and introductions
Client must be informed of any financial or other interest which you or your business or employer has in referring the client to another person.
This is also applicable to any fee sharing arrangement. However, this must be in writing and client must be informed
Criminal Proceedings
Must not receive or make payments relating to referral or make payment to an introducer respect of clients subject to criminal proceedings.
Prohibited referral fees
Solicitor cannot accept payment or receipt of referral fees in claims of damages following personal injury or death.
Must demonstrate compliance with referral fees
If it appears to the SRA you have received a prohibited referral fee the payment will be treated as such. Therefore, you will need to retain records that can prove otherwise.
Separate business
Should you have an interest in a business or otherwise connected, you must acquire the client’s informed consent if you wish to refer, recommend, or introduce them to the said business.
Associate with authorised bodies
You must only associate with firms that are an authorised body
Reserved legal activities
The activities reserved for solicitors are the following:
Exercise right of audience
Conducting litigation
preparing instruments relation to real or personal estate
Preparing probate papers
Notarial activities
Administration of oaths
What are the obligations of solicitors practicing in non-commercial bodies regarding indemnity insurance?
Non-commercial bodies must take out and maintain indemnity insurance for all legal services provided, including reserved legal activities.
What governance requirements must a firm comply with under SRA rules?
Firms must have effective governance systems to ensure compliance with SRA regulations, prevent breaches, and support compliance officers in their duties.
What are the responsibilities of Compliance Officers for Legal Practice (COLPs)?
A: COLPs must ensure compliance with firm authorization terms, report serious breaches, and notify the SRA of significant issues.
What are the two main types of conflicts of interest recognized for solicitors?
(1) Own interest conflict: between the solicitor and the client.
(2) Client conflict: between two or more current clients.
What must a solicitor do if a conflict of interest arises during a retainer?
Inform all clients and consider declining to act for all or any of them, ensuring confidentiality is not at risk.
Define the duty of confidentiality for solicitors.
It requires solicitors to keep all client information confidential unless disclosure is required by law or with client consent.
When is disclosure of client information without consent allowed?
In cases of legal requirements (e.g., statutory duties, court orders), preventing harm, or preventing a crime.
How can a solicitor manage potential conflicts between duties of confidentiality and disclosure?
Implement effective safeguards (e.g., Chinese walls) or obtain informed consent from affected clients.
What is the “substantially common interest” exception in conflicts of interest?
It applies when clients share a clear purpose and strong consensus on achieving it, allowing the solicitor to act for both.
What are the key conditions for solicitors to act under exceptions to conflicts of interest?
Informed written consent, safeguards for confidentiality, and the solicitor’s belief that it is reasonable to act for all clients.
How long does the duty of confidentiality last?
It continues indefinitely, including after the retainer ends and even after the client’s death.
What is the purpose of a client care letter in legal services?
It is a practical way to provide required information to clients, such as details about services, costs, and rights to complain, though it is not mandated by the SRA.
What must solicitors inform clients about at the start of a matter?
Clients must be informed whether and how the services provided are regulated and what protections are available
What are solicitors required to disclose about pricing?
Solicitors must provide the best possible pricing information at the start of the engagement and update clients on costs as the matter progresses.
What is the requirement regarding handling client complaints?
Complaints must be handled promptly, fairly, and free of charge, with clients informed of their right to escalate to the Legal Ombudsman (LeO).
What are the restrictions on legal service publicity?
Publicity must be accurate and not misleading. Targeted unsolicited approaches to individuals, such as direct letters or calls, are prohibited
What are the SRA Transparency Rules about?
Firms with websites must clearly display prices and service details for specific legal areas and include a digital badge indicating regulation.
What should a solicitor include in cost estimates?
A total cost, average or range of costs, the basis of charges (hourly rates or fixed fees), disbursements, and VAT details.
