R 5.1 - Responsibilities of a Partner or Supervisory Lawyer

Question 1

What shall attorney(s) do so that the firm conforms with the Rules of Professional Conduct?

Answer 1

The attorneys with managerial authority shall make reasonable efforts to ensure the firm and every attorney in it are complying with the Rules.

Question 2

What shall an supervising attorney do in respect to the supervisee attorney?

Answer 2

The supervising attorney shall make reasonable efforts to ensure that the supervisee attorneys conform to the Rules.

Question 3

When will a supervising attorney be responsible for the acts of a supervisee attorney?

Answer 3

If the supervising attorney orders or, with knowledge of the specific conduct, satisfies the conduct involved;
OR
the attorney is a partner or managerial authority, or has supervisory duties of another lawyer and knows that the conduct at a time when its consequences can be avoided or mitigated but fails to take remedial actions.

Question 4

What should the policies and procedures include so that a firm conforms with the Rules ?

Answer 4

It designed to detect and resolve conflict of interest, dates of when to take action, client fund information, and the like.

Question 5

Procedures between small and large firms.

Answer 5

Small firms will only need informal procedure to review compliance and large firms require more frequent review since conflicts are more likely to occur.

Question 6

What must a supervising attorney do when the supervisee attorney commits a mistake?

Answer 6

The supervising attorney and the supervisee attorney have a duty to correct the misapprehension.