Professional Conduct Flashcards
1
Q
The purpose, scope, and content of the Code of Conduct, which consists of:
A
SRA code of conduct for solicitors, registered European lawyers (RELs) and registered foreign lawyers (RFLs).
2
Q
Principle 1:
A
in a way that upholds the constitutional principle of the rule of law, and the proper administration of justice.
3
Q
Principles 2:
A
in a way that upholds public trust and confidence in the solicitors profession and in the legal services provided by authorised persons.
4
Q
Principle 3:
A
with independence.
5
Q
Principle 4:
A
with honesty
6
Q
Principle 5:
A
with integrity
7
Q
Principle 6:
A
in a way that encourages equality, diversity, and inclusion.
8
Q
Principle 7:
A
in the best interests of each client.
9
Q
The SRA Code of Conduct for firms describes the standards and business controls that the SRA expect of firms (including sole practices) authorised to…
A
provide legal services.
10
Q
The aim of the SRA Code of Conduct is?
A
create and maintain the right culture and environment for the delivery of competent and ethical legal services to clients.
11
Q
The code of conduct for firms applies in the context of?
A
legal practice and the way of business and professional activities are conducted.
12
Q
A breach of the SRA Code of Conduct can lead to?
A
to regulatory action being taken against the firm, its managers or compliance officers who each have responsibilities for ensuring that the standards are met.
13
Q
1.1-1.4
A
maintaining trust and acting fairly
14
Q
1.1
A
You do not unfairly discriminate by allowing your personal views to affect your professional relationships and the way in which you provide your services.
15
Q
1.2
A
you do not abuse your position by taking unfair advantage of clients or others.
16
Q
1.3
A
you perform all undertakings given by you and do so within an agreed timescale or if no timescale has been agreed then within a reasonable amount of time.
17
Q
1.4
A
do not mislead or attempt to mislead your clients, the court, or others, either by your own acts or omissions, or allowing or being complicit in the acts or omissions of others (including your client).
18
Q
2.1-2.7
A
dispute resolution and proceedings before courts, tribunals, and inquiries
19
Q
2.1
A
You do not misuse or tamper with evidence or attempt to do so.
20
Q
2.2
A
You do not seek to influence the substance of evidence, including generating false evidence or persuading witnesses to change their evidence.
21
Q
2.3
A
you do not provide or offer to provide any benefits to witnesses dependent upon the nature of their evidence or the outcome of the case.
22
Q
2.4
A
you only make assertions or put forward statements, representations or submissions to the court or others which are properly arguable.
23
Q
2.5
A
you do not place yourself in contempt of court, and you comply with court orders which place obligations on you.
24
Q
2.6
A
You do not waste the court’s time.
25
2.7
You draw the courts '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 the proceedings.
26
3.1-3.6
service and competence
27
3.1
You only act for clients on instructions from the client or from someone properly authorised to provide instructions on their behalf.
If you have reason to suspect that the instructions do not represent your clients wishes, you do not act unless you have satisfied yourself that they do.
However, in circumstances where you have legal authority to act notwithstanding that it is not possible to obtain or ascertain the instructions of your client, then you are subject to the overriding obligation to protect your client’s best interests.
28
3.2
You ensure that the service you provide to clients is competent and delivered in a timely manner.
29
3.3
You maintain your competence to carry out your role and keep your professional knowledge and skills up to date.
30
3.4
You consider and take account of your client’s attributes, needs and circumstances.
31
3.5
Where you supervise or manage others providing legal services:
32
3.5(a)
you remain accountable for the work carried out through them
33
3.5(b)
you effectively supervise work being done for clients.
34
3.6
You ensure that the individuals you manage are competent to carry out their role and keep their professional knowledge and skills,
as well as understanding of their legal, ethical, and regulatory obligations, up to date.
35
4.1-4.3
client money and assets
36
4.1
You properly account to clients for any financial benefit you receive as a result of their instructions, except where they have agreed otherwise.
37
4.2
You safeguard money and assets entrusted to you by clients and others.
38
4.3
You do not personally hold client money save as permitted under regulation 10.2(b)(7) of the Authorisation of Individuals regulations,
unless you work in an authorised body, or in an organisation of a kind prescribed under this rule on any terms that may be prescribed accordingly.
39
5.1-5.3
Referrals, introductions, and separate businesses
40
5.1
In respect of any referral of the client by you to another person or of any third party who introduces business to you or with whom you share your fees, you ensure that:
41
5.1(a)
clients are informed of any financial or other interest which you or your business or employer has in referring the client to another person or which an introducer has in referring the client to you.
42
5.1(b)
clients are informed of any fee sharing arrangement that is relevant to their matter.
43
5.1(c)
the fee sharing agreement is in writing.
44
5.1(d)
you do not receive payments relating to a referral or make payments to an introducer in respect of clients who are the subject of criminal proceedings
45
5.1(e)
any client referred by an introducer has not been acquired in a way which would breach the SRA’s regulatory arrangements if the person acquiring the client for regulated by the SRA.
46
5.2
where it appears to the SRA that you have made or received a referral fee, the payment will be treated as a referral fee unless you show that the payment was not made as such.
47
5.3
you only:
48
5.3(a)
refer, recommend, or introduce a client to a separate business
49
5.3(b)
divide, or allow to be divided, a client’s matter between you and a separate business
where the client has given informed consent to your doing so.
50
5.5-5.6
other business requirements
51
5.4
You must not be a manager, employee, member who interest holder of a business that:
52
5.4(a)
has a name which includes the word solicitors
53
5.4(b)
describes its work in a way that suggests it is a solicitors’ firm
unless it is an authorised body.
54
5.5
If you're a solicitor holds a practising certificate, an REL or RFL, you must complete and deliver to the SRA an annual return in the prescribed form.
55
5.6
if you are a solicitor or an REL carrying on reserved legal activities in a non-commercial body, you must ensure that:
56
5.6(a)
the body takes out and maintains indemnity insurance
57
5.6(b)
this insurance provides adequate and appropriate cover in respect of the services that you provide or have provided,
whether or not they comprise reserved legal activities,
taking into account any alternative arrangements the body or its clients may make.
58
6.1-6.2
Conflict of interests
59
6.1
You do not act if there is an own interest conflict or a significant risk of such a conflict.
60
6.2
you do not 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, unless:
61
6.2(a)
the clients have a substantially common interest in relation to the matter or the aspect of it, as appropriate
62
6.2(b)
the clients are competing for the same objective and the conditions below are met, namely that:
63
6.2(b)(i)
all the clients have given informed consent, given, or evidenced in writing, to you acting
64
6.2(b)(ii)
were appropriate, you put in place effective safeguards to protect your clients’ confidential information
65
6.2(b)(iii)
you are satisfied it is reasonable for you to act for all the clients.
66
6.3-6.5
Confidentiality and disclosure
67
6.3
You keep the affairs of current and former clients confidential unless disclosure is required or permitted by law or the client consents.
68
6.4
Where you are acting for a client on a matter, you make the client aware of all information material to the matter of which you have knowledge, except when:
69
6.4(a)
the disclosure of the information is prohibited by legal restrictions imposed in the interest of national security or the prevention of crime.
70
6.4(b)
your client gives informed consent, given or evidenced in writing, to the information not being disclosed to them.
71
6.4(c)
You have reason to believe that serious, physical, or mental injury will be caused to your client or another, if the information is disclosed
72
6.4(d)
the information is contained in a privileged document that you have knowledge of only because it has been mistakenly disclosed.
73
6.5
You do not act for a client in a matter where that client has an interest adverse to the interest of another current or former client of you or your business or employer,
for whom your business or employer holds confidential information, which is material to that matter, unless:
74
6.5(a)
effective measures have been taken which result in there being no real risk of disclosure of the confidential information
75
6.5(b)
the 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 their information.
76
7.1-7.12
Cooperation and Accountability
77
7.1
You keep up to date with and follow the regulation governing the way you work.
78
7.2
you are able to justify your decisions and actions to demonstrate compliance with your obligations under the SRA’s regulatory arrangements.
79
7.3
you cooperate with the SRA, other regulators, ombudsmen, and those bodies with a role overseeing and supervising the delivery of, or investigating concerns in relation to, legal services.
80
7.4
You respond promptly to the SRA and:
81
7.4(a)
provide full and accurate explanations, information, and documents in response to any request or requirement
82
7.4(b)
ensure that relevant information, which is held by you, or by third parties carrying out functions on your behalf which are critical to the delivery of your legal services, is available for inspection by the SRA.
83
7.5
You do not attempt to prevent anyone from providing information to the SRA or any other body exercising regularity, supervisory, investigatory, or prosecutory functions in the public interest.
84
7.6
you notify the SRA promptly if:
85
7.6(a)
you are subject to any criminal charge, conviction, or caution, subject to the Rehabilitation of Offenders Act 1974.
86
7.6(b)
a relevant insolvency event occurs in relation to you
87
7.6(c)
if you become aware:
88
7.6(c)(i)
of any material changes to information previously provided to the SRA, by you or on your behalf, about you or you practise, including any change to information recorded in the register
89
7.6(c)(ii)
that information provided to the SRA, by you on your behalf, about you or your practise is or can be false, misleading, incomplete, or inaccurate.
90
7.7
You report properly to the SRA or another approved regulator, as appropriate, any facts or matters that you reasonably believe or capable of amounting to a serious breach of their regulatory arrangements by any person regulated by them (including you).
91
7.8
Notwithstanding paragraph 7.7, you inform the SRA promptly of any facts or matters that you reasonably believe should be brought to its attention in order that it can investigate whether a serious breach or its regulatory arrangements has occurred or otherwise exercise its regulatory powers.
92
7.9
You do not subject any person to detrimental treatment for making or proposing to make a report or proposing to provide information based on a reasonably held belief under paragraph 7.7 or 7.8 above or paragraph 3.9, 3.10, 9.1(d) or (e)
or 9.2(b) or (c) of the SRA Code of Conduct for firms,
irrespective of whether the SRA or another approved regulator subsequently investigates or takes any action in relation to the facts or matters in question.
93
7.10
you act promptly to take any remedial action requested by the SRA.
94
7.11
You are honest and open with clients if things go wrong, and if a client suffers loss or harm as a result, you put matters right (if possible)
and explain fully and promptly what has happened and the likely impact.
If requested to do so by the SRA you investigate whether anyone may have a leave against you, provide the SRA with a report on the outcome of your investigation,
and notify relevant persons that they may have such a claim accordingly.
95
7.12
Any obligation under this section or otherwise to notify,
or provide information to, the SRA will be satisfied if you provide information to your firm's compliance officer for legal practise
or compliance officer for finance and administration, as and where appropriate,
on the understanding that they will do so.
96
8.1
Client Identification
97
8.1
You identify who you are acting for in relation to any matter.
98
8.2-8.5
complaints handling
99
8.2
You ensure that as appropriate in the circumstances, you either establish and maintain, or participate in, a procedure for handling complaints in relation to the legal services you provide.
100
8.3
you ensure that when clients are informed in writing at the time of engagement about:
101
8.3(a)
their right to complain to you about your services and your charges
102
8.3(b)
how a complaint can be made and to whom
103
8.3(c)
any right they have to make a complaint to legal ombudsman and when they can make any such complaint.
104
8.4
You ensure that when clients have made a complaint to you, if this has not been resolved to the client’s satisfaction within eight weeks following the making of the complaint they are informed in writing:
105
8.4(a)
of any right they have to complain to the legal ombudsmen, the time frame for doing so and full details of how to contact the legal ombudsmen
106
8.4(b)
if a complaint has been brought and your complaints procedure has been exhausted
107
8.4(b)(i)
that you cannot settle the complaint
108
8.4(b)(ii)
of the name and website address of an alternative dispute resolution approved body which would be competent to do deal with the complaint
109
8.4(b)(iii)
whether you agree to use the scheme operated by that body.
110
8.5
you ensure that complaints are dealt with promptly, fairly, and free of charge.
111
8.6-8.11
Client information and publicity
112
8.6
you give clients information in a way they can understand.
You ensure there are in a position to make informed decisions about the services they need, how the matter will be handled and options available to them.
113
8.7
You ensure that clients receive the best possible information about how their matter will be priced
and both at the time of engagement and when appropriate as their matter progresses about the likely overall cost of the matter and any costs incurred.
114
8.8
You ensure that any publicity in relation to your practise is accurate and not misleading, including that relating to your charges and the circumstances in which interest is payable by or to clients.
115
8.9
You do not make unsolicited approaches to members of the public, with the exception of current or former clients, in order to advertise legal services provided by you or your business, or employer.
116
8.10
you ensure that clients understand whether and how the services you provide are regulated.
This includes:
117
8.10(a)
explaining which activities will be carried out by you, as an authorised person
118
8.10(b)
explaining which services provided by you, your business or employer, and any separate business are regulated by an approved regulator
119
8.10(c)
ensuring that you do not represent any business or employer which is not authorised by the SRA, including any separate business as being regulated by the SRA.
120
8.11
you ensure that clients understand the regulatory protections available to them.
