Professional Conduct Flashcards
Do law centres need to be authorised by SRA?
MUST be authorised by SRA if they provide reserved legal activities (irrespective of whether pro-bono)
If not authorised solicitors must still compy with CCS and have indemnity insurance
When should you report concerns to the SRA?
Serious breach of SRA rules (e.g. misappropriation of client money) by a person regulated by SRA
(first go to COFA / COLP depending on nature of breach)
When can a solicitor / client terminate a retainer
Solicitor: must provide reasonable notice + fair and reasonable to terminate
Client: any time for any reason
Common Interest Exception
You cannot act if there is a conflict or sig risk of conflict (e.g. interests of clients conflict) UNLESS
- Substantially common interest (clear common purpose + strong consensus on how it should be achieved)
- Informed consent** in writing **
- Effective safeguards to protect confidential information (different fee earner)
- Reasonable to act (unreasonable if one client is more vulnerable, negotiation… reasonable if limited no of sols who could advise / lower cost)
When can a solicitor represent client in CC
- Higher rights of audience; or
- solicitor acted in original trial in mags
when can a claim not be made on the SRA Compensation Fund
Business soliciotr works for is not authorised by the SRA
When is a DBA / CFA not appropriate?
Client is D unless D is also making a counterclaim (as would not win any damages)
Referrals and Commission
May make a referral / accept introduction provided in client’s best interest + not in breach of advertising
Commission is ok provided: inform client + account to client + fee sharing agreement is in writing
Commission is NEVER ok if criminal proceedings, PI claim or legal aid
Serious breach of SRA rules
Harassment
Calculating financial value of claim for allocation
Key value is the AMOUNT IN DISPUTE (i.e. if D disputes whole amount = whole amount. if D admits £12k of liability and C is claiming £20k, amount in dispute is £8k).
Freelance solicitor
All reserved legal activities (not notarial) if through an authorised body or sole practice
Authorised Disclosure
Sol under duty to report to MLRO only
MLRO under duty to report SAR to NCA
when should increase in costs be communicated to client?
client should be kept informed ‘when appropriate’
When is interests of justice test automatically passed in criminal cases?
D’s trial is in CC
