Professional Conduct Flashcards
Do solicitors owe a duty to promote the public good?
Yes.
Do the principals apply in both public and personal life?
Yes.
What are the 4 key documents for professional conduct?
- SRA Principles
- Code of Conduct for Solicitors (CCS)
- Code of Conduct for Firms (CCF)
- SRA Account’s Rules
How do you refer to SRA principles?
Principle 1, 2 etc.
What do codes refer to?
Rules in the CCS and CCF.
What are the 7 SRA principles?
- Uphold rule of law and administration of justice
- Uphold public trust and confidence in the profession
- Act with independence
- Act with honesty
- Act with integrity
- Encourage DEI
- Act in best interests of each client
Who does the CCS apply to?
Individuals authorised by the SRA to provide legal services (incl. paralegals, apprentices).
Does wider public interest, or your individual take precedence if there is a conflict?
Wider public interest.
What conduct, outside of workplace conduct is captured by the CCS?
Any conduct which touches realistically upon your practice of the profession, in a way that is demonstrably relevant.
Who oversees your compliance with CCS?
You – use your own judgement.
What does the CCF do?
Sets out the standards and business controls the SRA expects of firms.
What is the main aim of the CCF?
Create and maintain the right culture and environment for the delivery of competent and ethical legal services.
Does the CCF contain all the rules within the CCS?
Yes – and more.
What additional 3 rule categories does the CCF have that the CCS does not have?
- Regulates systems and controls firms must have in place to comply with the SRA’s rules
- Responsibilities of managers of a firm
- Requirement to have a compliance officer for legal practice (COLP) and compliance officer for finance administration (COFA)
What are the 8 priority risks for the legal profession identified by the SRA?
- AI
- Anti money laundering
- Client money
- Diversity in the profession
- Information and cyber-security
- Integrity and ethics
- Meeting legal needs (e.g., affordability)
- Standards of service
What additional 6 requirements has the SRA introduced into the CCF and CCS to combat priority risks?
- Keep client money safe
- Not take unfair advantage of clients
- Ensure solicitor instructions reflect client wishes
- Address DEI
- Provide a fair complaints procedure
- Provide clear information the client can understand about the service they will receive and how much it will cost
What 3 CCS codes broadly and specifically relate to keeping knowledge up to date?
- Ensure service is competent and timely
- Maintain competence and keep professional skills up to date
- Keep up with and follow law and regulation governing the way you work
What CCF code relates to keeping knowledge up to date?
Firms must ensure that managers and employees are competent to carry out their role, and keep their professional knowledge and skills, as well as understanding of the legal, ethical and regulatory obligations up to date.
What are the 3 codes that regulate supervising client matters (e.g., for a trainee)?
- When you supervise or manage others you:
(a) remain accountable for the work carried through them
(b) you effectively supervise client work - You ensure the individuals you manage are competent for their role, and keep everything up to date (knowledge etc)
- You have an effective system for supervising client matters.
What are the 3C’s of client care?
- Customer due diligence (CDD)
- Conflict checks
- Client care letters.
In what 3 circumstances must you carry out CCD?
- When establishing a business relationship
- Carrying out an occasional transaction
- If you suspect money laundering or terrorist financing.
What basic information is typically associated with identifying a client?
Name, email, address etc.
What 3 things can verification include?
- Obtaining original documents (e.g., passport)
- Conducting electronic verification
- Obtaining information from other regulated people.
What is the general rule regarding whether you can act before CDD is completed?
Generally, you can’t.