Professional Conduct Flashcards
What is SRA obligation on solicitors to bring to court’s attention any mitigations for opposing side who are unrepresented?
- Solicitors must bring to court’s attention to mitigation on part of defendant (criminal proceedings) if they are unrepresented
- otherwise, there is a risk of abuse of position by taking unfair advantage of unrepresented client
Can solicitor state personal views on a case
No they must not
What is the mode of address for a circuit judge (prefix HHJ)
Your Honour
What is the mode of address for district judge in Magistrates Court
Judge
What is the mode of address for a bench of lay magistrates?
Your worships or Sir/Madam
What is the mode of address for High Court judges?
My Lord/My Lady
Who has the decision as to whether the defendant client in criminal proceedings should give evidence?
The decision as to whether the defendant should give evidence is to the defendant alone
- D has the right to give evidence
- should be warned of the potential effect / risk of adverse inferences should they not do so
Solicitor has a duty not to mislead the court. What should solicitor do if they are at risk of doing so (e.g., client has lied about evidence)
- solicitor should obtain consent of client to disclose information. Otherwise the solicitor will be misleading the court
- If the client refuses, the solicitor must withdraw, but must not disclose the reasons for this to the client
Solicitor can continue to represent the client AS LONG AS the client consents to disclosing the lie
Who must a client report their complaints to?
If the client remains dissatisfied with the outcome of the complaint (after following the firm’s complaint procedure)
- report to legal ombudsman
What should a solicitor do if they come across information which could harm their client’s position?
Disclose the information to the client immediately and take instructions from the client as to how to proceed
What is best practice for the execution of a transfer of registered freehold property?
- seller’s signature should be witnesses by an independent witness
If it is not an independent witness:
- the solicitor should arrange for the seller client to attend the firm’s offices or send transfer out to be witnessed by an independent witness
When acting for a buyer client and lender
Must obtain the buyer client’s consent first before reporting information to the lender
- e.g., if buyer needs to inform lender of seller’s change in purchase price - need to obtain buyer client’s consent first before solicitor can inform the lender
What costs information should be given to client?
The solicitor should provide a general estimate of potential costs, including hourly rates and expenses, without giving precise details
- keep client updated if costs change as matter progresses
What is the bank reconciliation process?
- undertaken by the firm’s COFA
- involves checking bank statements for the firm’s client and business accounts against the firm’s internal accounting records at least every 5 weeks
At least every 5 weeks, complete a reconciliation of bank statements
How often must financial statements be obtained from banks and buildings societies (under account rules)
At least every five weeks
What action must be taken if there is a data breach?
SRA requires solicitors to be open and honest with clients when things go wrong, and to take steps to mitigate
- this is a positive obligation
- therefore, solicitor should immediately inform all affected clients and take steps to mitigate the impact of the breach
Under what circumstances can a solicitor update friends or relatives of a suspect (criminal case - client in conducting criminal case)
A solicitor can keep friends and relatives updated, but only if they obtain the client/suspect’s permission
- confidential, unless disclosure is permitted by client’s consent
What are solicitors’ obligations to notify SRA of their own poor conduct?
Solicitors must notify SRA promptly if they are:
- subject to criminal charge, conviction or caution
- relevant insolvency event in relation to you
What must a solicitor do if a client falsely represents themselves in court (such as providing a false name and address)
Ask the client to correct the information, and if they refuse, cease to act
Can a solicitor accept instructions from a third party to represent a suspect at the police station?
Yes, the solicitor can, provided they are satisfied the third party has authority to give instructions and that there is no conflict of interest or risk of conflict
Modes of address in Magistrates Court
- Sir / Madam (or Judge): District Judge or Deputy District Judge
- Sir / Madam: Lay magistrates
Who are the judges which sit in Magistrates Court
- District Judge
- Deputy District Judge
- Two or three lay magistrates and a legal adviser
Hearings in the magistrates court
First hearings: all adults have their first hearing before the magistrates, along with youths jointly charged with adults
- no appeals can be heard in magistrates’ court
The Crown Court Judges
- a Circuit Judge
- High Court Judge
- a Recorder (barrister, solicitor authorised to sit in the Crown Court)
