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sqe - ethics and professional conduct > SRA Principles > Flashcards

SRA Principles Flashcards

1
Q

What are the 7 SRA Principles?

A
  1. Act in a way which upholds the rule of law and the proper administration of justice
  2. Acts in a way that upholds public trust and confidence
  3. Act with independence
  4. Act with honesty
  5. Act with integrity
  6. Act in a way to encourage equality, diversity & inclusion
  7. Act in the best interests of client
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2
Q

Where is the ethical conduct of a solicitor detailed?

A

SRA Standards & Regulations

(i.e standard requirements that the SRA expects to do for clients & in the public interest)

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3
Q

What is the SDT?

A

Solicitors Disciplinary Tribunal - an independent court dealing with breaches of professional conduct.

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4
Q

What is the SRA Enforcement Strategy?

A

Factors which the SRA will consider in assessing the seriousness
of a breach.

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5
Q

What is the purpose of the SRA Principles?

A

‘Fundamental expected behaviour of those regulated to uphold’

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6
Q

What is the scope of the Principles & who do they apply to?

A

All individuals that provide legal services

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7
Q

In a conflict of interest between the principles what takes preference over a clients interest?

A

Those which safeguard the wider public interest.
E.g Rule of Law, Public Confidence

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8
Q

What should a solicitor inform a client outweighs their interest?

A

Their duty to the court & other professional obligations

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9
Q

Lord Hoffmann - (Arthur JS Hall v Simons 2002 1 AC 615) re conflict?

A

Lawyers conducting litigation owe a divided loyalty.
A duty to their clients, but they may not win whatever means.
They also owe a duty to the court and the administration of justice.

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10
Q

When were the SRAs Principles updated?

A

25 November 2019

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11
Q

What is Principle number 1?

A

Act in a way that upholds the constitutional principle of the rule of law & the proper administration of justice

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12
Q

What is Principle number 2?

A

Act in a way that upholds public trust and confidence in the solicitors profession and in legal services provided by authorised persons

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13
Q

What is Principle number 3?

A

Act with independence

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14
Q

What is Principle number 4?

A

Act with honesty

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15
Q

What is Principle number 5?

A

Act with integrity

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16
Q

What is Principle number 6?

A

Acts in a way that encourages equality, diversity and inclusion

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17
Q

What is Principle number 7?

A

Act in the best interests of the client

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18
Q

What is the rule of law?

A

‘The law is of equal application to all persons, public or private, and this is put into effect by individuals and organisations….and through activities engaging the justice system’

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19
Q

Example of a breach to uphold the rule of law principle 1?

A

Solicitor is convicted of a criminal offence, engaged in a criminal offence or behaviour that disregards the rule of law

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20
Q

What is proper administration of justice?

A

Owing a duty to the court and to administration of justice.
Must not mislead the court.
Or interfere with the judicial process and conduct themselves in such a way that they act in the interest of justice

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21
Q

What is the overriding objective is the CPR 1998 & CPR 2020?

A

Courts duty to deal with cases justly.
Parties are required to help the court.

22
Q

Example of interfering with the proper administration of justice principle 1?

A

Witness intimidation (try to get a witness to change their evidence.

Misleading the court (knowingly or recklessly) let a client give evidence which they know to be untrue.

23
Q

Principle 2 who can a person be?

A

A solicitor

An authorised person (any person who is authorised by SRA or other approved regulator)

24
Q

What does the SRA characterise being ‘at the heart of the legal system’

A

Public Trust & Confidence

25
Q

Solicitor/client relationship means (3)

A
  1. Protect their Interests (money & assets)
  2. Represent their best interests (financial & personal)
  3. Preserve sensitive information (commercially & personal)
26
Q

Name 3 vulnerable clients-

A
  1. PI client may be suffering physical & mental harm due to injury
  2. Client seeking advice on death of family
  3. Client charged with a crime at risk of losing their liberty
27
Q

Does a breach of principle 2 need to cause harm to an individual?

A

No but harm to the reputation of the profession

28
Q

Name some instances of a solicitor that will fall foul of principle 2 - (7)

A
  1. Dishonesty
  2. Lack of Integrity
  3. Lack of Probity
  4. Criminal offences
  5. Discriminatory conduct
  6. Violence/harassment
  7. Offensive communication

(To name a few)

29
Q

What are LIPs & if they communicate unprofessionally do they breach the code of conduct?

A

Litigants in Person - NO

30
Q

When a solicitor acts unbiased and objectively without consideration for their own interests or others what are they doing?

A

Acting independently

31
Q

What should a solicitor put before their own and their clients interests?

A

Wider Professional obligations to:- Administration of justice.
The rule of law
The courts

32
Q

What is an example of principle no 3? Independence

A

Acting in a case and may be a witness

33
Q

Is honesty a subjective or objective test?

A

Objective

34
Q

What two things do the SRA determine if a solicitors conduct is dishonest?

A
  1. Knowledge solicitor had at the time
  2. In view of their knowledge was their conduct dishonest

STANDARD OF AN ORDINARY DECENT PERSON

35
Q

What is an example of dishonest behaviour? Principle no 4

A

Telling a client the case is going well when it isn’t
Misleading a court

36
Q

What does integrity principle 5 mean?

A

Adherence to the ethical standards of one’s own profession

37
Q

Example of integrity? Principle no 5

A

Professional is expected to be more scrupulous about accuracy then a member of the general public in disclosure

38
Q

Acting with integrity applies to which two ways of behaviour:-

A

What a person says
What a person does

39
Q

How best to learn integrity?

A

Acting without morals

40
Q

What is an undertaking?

A

An enforceable promise to do something

41
Q

Name an example of lack of integrity? Principle no 6

A

Wilful/reckless/knowingly:-
disregard of standards/rules
Taken advantage of clients
Cause harm or distress
Clients being misled

42
Q

What is Equality?

A

Making sure there is a level playing field and people are treated fairly

43
Q

What is diversity?

A

Encouraging and valuing all different backgrounds,knowledge,skills

44
Q

What is inclusion?

A

Accepting people for who they are and encourage them to participate and contribute

45
Q

SRA CODE OF CONDUCT 1.1 should you allow your personal views to affect professional relationships in the way you provide services

A

NO

46
Q

Can a solicitor refuse or cease to act for a client?

A

Yes - as long as it’s not because of a protected characteristic

47
Q

What is in a best interest of the client? Principle 7

A

Act in a manner which furthers the clients interest & not put clients interests in conflict

48
Q

Can a client mean future and former clients?

A

Yes

49
Q

What are two ways of conflicts of interests?

A
  1. Between client & solicitor (own interest conflict)
  2. Between two clients (those of another client)
50
Q

Name a few ways to act in the best interests of a client

A

Confidentiality
Expertise
Capacity
Unauthorised/secret profits

51
Q

If in doubt about application of adherence with SRA principles what should a solicitor do?

A

Contact Professional Ethics helpline.
Can request a written decision

52
Q

What is the main thing to be aware of if there a conflict of the principles?
TAKES PRECEDENCE

A

Safeguard the wider public’s interest

sqe - ethics and professional conduct (8 decks)

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