Professional Conduct Flashcards
What are the seven mandatory principles?
A solicitor must act:
- In a way that upholds the constitutional principles of the rule of law, and the proper administration of justice.
- in a way that upholds public trust and confidence in the profession and in legal series proved by authorised persons.
- With independence
- With honesty
- With integrity
- In a way that encourages equality, diversity and inclusion.
- In the best interest of the client
What happens if two or more of the mandatory principles come into conflict?
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.
What are undertakings? What if it is breached?
Statement given to someone who relies on it that you/3rd party will do something/cause something to be done/refrain from doing something.
- Breach
- must be performed at agreed time/reasonable time
- court can enforce it and damages
What should you do if the court or opponent does no mention relevant law or there is a procedural irregularity?
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.
What to consider when taking instruction?
- Are you taking instructions from someone else
- Then must not act unless you are satisfied these represent your clients wishes
- Should investigate
What to do if taking instruction for 2+ clients?
- Can agree with all clients to take instruction from one as the matter progresses
- But be sure at the outset that both agree
- to instruct solicitor; and
- instructions repress the wishes of both
What should you do if client is unable to give instructions as matter is ongoing?
- Can still act
- must act in best interest of clients
What are the solicitors obligation regarding their service?
That
- service is delivered in timely manner
- you maintain you competence to carry out service
For example
- if very busy should not take on new case
How must service be customised for clients?
must consider and take account of each clients
- attributes
- needs; and
- circumstances
May include:
- providing updated by phone to illiterate clients (as well as by email or post)
- client purchasing first home may need more information compared to sophisticated client
Can solicitors/firms financially benefit as result of clients instructions?
Must properly account to client for financial benefit unless the client has already agreed otherwise.
What are solicitor/firms duty towards client money and assets?
Must safeguard them
- for example not lose title deeds
What are the requirements solicitors or firms must follow in respect to referrals and introductions?
Counts for referrals or introductions both ways
- Clients must be informed of interest
- finical or other interest - Fee Sharing Agreements must be in writing
- and clients must be informed - No Payments in Respect to Criminal Proceedings
When are referral fees prohibited?
Payment of receipt of referral fees for:
- criminal proceedings;
- personal injury claims;
- death claims: and
- ancillary claims arising out of same circumstances (eg. uninsured loss recovery claim resulting from the accident)
What actions involving a ‘separate business’ requires clients consent?
- referring, recommending or introducing the client to a separate business, or
- dividing a clients matter between you and a separate business or allowing the clients matter to be so divided
What is the requirement that solicitors must only associated with authorised bodies?
- must not be a manager, employee, member or interest holder
- of business that has name which includes ‘solicitors’ or describes its work in ways that suggests it is a law firm
- unless it is an authorised body by SRA
