Ethics and Professional Conduct

Question 1

What are the 7 SRA principles

Answer 1

1. RoL and proper administration of justice
2. public trust and confidence in the solicitors’ profession
3. independence
4. honesty
5. integrity
6. encourages EDI
7. best interests of each client

Question 2

6. Conflict requirements

Answer 2

6.1 Dont act if there is an own interest conflict or a significant risk of such a conflict.
6.2 You do not act in relation to a matter or particular aspect of it if you have a conflict of interest or a significant risk of such a conflict in relation to that matter or aspect of it (current clients) UNLESS conditions satisfied

Question 3

6. Conflict: conditions to satisfy 6.2

Answer 3

a. clients have substantially common interest
b. clients are competing for the same objective, (aka. Commercial except(ion)
AND
1. clients have given informed consent in writing
2. where appropriate, put in place effective safeguards to protect confidential info
3. AND you are satisfied it is reasonable for you to act for all clients

Question 4

6: confidentiality and disclosure requirements

Answer 4

6.3 keep the affairs of current and former clients confidential unless disclosure is required or permitted by law or the client consents.
6.4make the client aware of all information material to the matter of which you have knowledge (with exceptions)
6.5 Dont act for a client where they have an interest adverse to the interest of another current or former client of you or your business or employer, for whom you or your business or employer holds confidential information which is material to that matter (exceptions)

Question 5

6: when DONT you have to make a client aware of all info you have knowledge of?

Answer 5

a. disclosure prohibited by legal restrictions imposed in the interests of national security the prevention of crime
b. client gives informed consent in writing
c. have reason to believe that serious physical or men injury will be caused to your client another if the information is disclosed
d. information is contained in a privileged document that you have knowledge of only because it has been mistakenly disclosed.

Question 6

6: when can you act for a client who has adverse interests under 6.5?

Answer 6

a. effective measures have been taken which result in the being no real risk of disclosure of the confidential information
b. current or former client whose information you or your business or employer holds has given informed consent, given or evidenced in writing to you acting, including to any measures taken to protect t information.