Ethics and Regulation Flashcards
What is the body that regulates the conduct of solicitors?
Solicitors Regulation Authority (SRA)
What are some of the key standards and regulations that the SRA imposes?
1) SRA Principles – these set out fundamental requirements of ethical behaviour
2) SRA Code of Conduct for Solicitors, RELs and RFLs – sets out standards of professionalism required by solicitors, registered European lawyers and registered foreign lawyers
- Individuals are personally accountable for their compliance
3) SRA Code of Conduct for Firms – standards and business controls expected of firms
- Serious failures to meet the standards can lead to regulatory action against the body itself, managers + compliance officers or employees where they are responsible for breaches
4) SRA Accounts Rules
- Specific requirements for solicitors in financial matters, particularly when dealing with client or 3rd party money
Does a firm need its own complaints procedure?
Yes, every firm must have a procedure for handling complaints
What information must a client a receive about making a complaint?
A solicitor must ensure (Paragraph 8.3) that clients are informed in writing at the time of engagement about:
(a) their right to complain about the solicitor’s services and charges;
(b) how complaints may be made and to whom; and
(c) any right they have to make a complaint to the Legal Ombudsman and when they can make such complaint
If the client suffers loss due to the solicitors’ acts or omissions, what steps should they take?
There would likely have been a conflict of interest (because of their act or omission giving rise to a claim) and the solicitor would likely cease acting and they may have to advise the client to obtain independent advice
Where the client’s complaint is not resolved to their satisfaction within 8 weeks, what must they be informed of next?
Must be informed in writing:
(a) of any right they have to complain to the Legal Ombudsman, the timeframe for doing so
and full details of how to contact the Legal Ombudsman; and
(b) if a complaint has been brought and the complaints procedure has been exhausted:
(i) that the solicitor cannot settle the complaint;
(ii) the name and website address of an alternative dispute resolution (ADR) approved
body which would be competent to deal with the complaint; and
(iii) whether the solicitor agrees to use the scheme operated by that body
How must client complaints be dealt with?
Promptly, fairly and free of charge
When can the client complain to the Legal Ombudsman?
C must use internal complaint procedure before LeO unless:
(a) the complaint has not been resolved to the complainant’s satisfaction within eight weeks of being made to the solicitor; or
(b) the LeO considers that there are exceptional reasons to consider the complaint sooner, or without it having been made first to the solicitor; or
(c) the LeO considers that in-house resolution is not possible due to irretrievable breakdown in the relationship between the solicitor and the complainant.
Complaint must be brought within 1 year of act/omission
What is the effect of a determination by the Legal Ombudsman?
Where determinations are accepted, they are binding and final and can be enforced through the High Court
Where determinations are rejected, both parties can pursue other legal remedies (like suing for negligence)
When there is a breach of the Codes of Conduct, what actions can the SRA take about professional misconduct?
Must be a sufficiently serious and provable breach
The more serious the misconduct, the more serious the sanction, but they can include:
- Taking no further action with or without issuing advice or a warning about future conduct
- Impose a financial penalty (capped at 25k) or written rebuke
- Control how the solicitor practices
- Refer the matter to a Solicitors Disciplinary Tribunal – only way to strike a solicitor off the roll
If a case is referred to the Solicitors Disciplinary Tribunal, what actions can they take about professional misconduct?
They cannot investigate themselves, but can make any order they see fit, including suspension, an unlimited fine or striking a solicitor off the roll
When a solicitor makes a mistake, what approach should they take?
Be ‘honest and open’ when things go wrong, by giving a full and prompt explanation and likely impact of what happened and put them right if possible
Should not delay in informing the client, even if the firm’s reputation may be damaged
What is the SRA Compensation Fund?
Discretionary fund of last resort to make grants to people whose money has been stolen or not accounted for as a result of an act or omission by an SRA regulated individual or body and to relieve losses for which SRA-authorised bodies should have had insurance, but didn’t
