Regulatory and legal environment Flashcards
The SRA Standards and Regulations comprise a number of documents. Key documents include…
- SRA Principles
- Code of Conduct for Solicitors (CCS)
- Code of Conduct for Firms (CCF)
- SRA Accounts Rules
What are the 7 SRA principles
Requires individuals and law firms to act:
1. in a way that uphold the constitutional principle of the rue of law and the proper administration of justice
2. in a way that uphold that public trust and confidence in the solicitors’ profession and in legal services provided by authorised persons
3. with independence
4. with honesty
5. with integrity
6. in a way that encourages equality, diversity and inclusion
7. in the best interests of each client
Meaning of ‘upholding public trust and conduct in the solicitors’ profession’
Non discrimination
- you do not unfairly discriminate by allowing ur personal views to affect your professional relationships
Unfair advantage
- you do not abuse your position by taking infant advantage of clients or others
Misleading others
- you do not mislead or attempt to mislead your clients, the court or others either by ur own acts or omissions.
What is the definition of ‘undertakings’
a statement given orally or in writing, to someone who reasonably places reliance on it, that you or a third party will do something or cause something to be done WITHIN A REASONABLE AMOUNT OF TIME
Examples of misleading the court
- draft documents supporting your client’s case which are not properly arguable
- make any allegation of crime/ misconduct/ fraud
- call a witness whose evidence you know is untrue
If you become aware that you misled the court, what must you do?
cease to act
What duties applies to principle 7: ‘must act in the best interests of their clients’
Duty of confidentiality
Duty of disclosure
Who does the duty of confidentiality apply to?
- current and former clients
- clients of a firm you used to work for
- clients that used to instruct you but now instructing other firm
- continues to apply after client’s death
Exceptions to the duty of confidentiality
- where disclosure is permitted by law or govt bodies eg HMRC
- when client consents
What does the duty of disclosure apply to
- info material to the client’s matter
- duty on individual solicitor acting where they have personal knowledge
Exceptions to the duty of disclosure
- national security
- client gives informed consent
- serious injury if info is not disclosed
- privileged doc
Rule of adverse interests
‘You do not act for a client in matter where that client has an interest adverse to the interests of another current or former client of you or your business or employer holds confidential information which is material to the matter’
Meaning of ‘Referrals’
refers to an arrangement you/ a law firm might have with a third party TO WHOM you may refer or introduce clients.
- includes referral fee
Referrals in relation to personal injury
the Legal Aid, Sentencing and Punishment of Offenders Act 2012 (LASPO) - prohibits solicitors from referring or receiving referrals in respect of a claimant’s claim for damages in respect of personal injury to each other in consideration for a referral fee.
