SRA Principles Flashcards
What are the 7 SRA Principles?
- Act in a way which upholds the rule of law and the proper administration of justice
- Acts in a way that upholds public trust and confidence
- Act with independence
- Act with honesty
- Act with integrity
- Act in a way to encourage equality, diversity & inclusion
- Act in the best interests of client
Where is the ethical conduct of a solicitor detailed?
SRA Standards & Regulations
(i.e standard requirements that the SRA expects to do for clients & in the public interest)
What is the SDT?
Solicitors Disciplinary Tribunal - an independent court dealing with breaches of professional conduct.
What is the SRA Enforcement Strategy?
Factors which the SRA will consider in assessing the seriousness
of a breach.
What is the purpose of the SRA Principles?
‘Fundamental expected behaviour of those regulated to uphold’
What is the scope of the Principles & who do they apply to?
All individuals that provide legal services
In a conflict of interest between the principles what takes preference over a clients interest?
Those which safeguard the wider public interest.
E.g Rule of Law, Public Confidence
What should a solicitor inform a client outweighs their interest?
Their duty to the court & other professional obligations
Lord Hoffmann - (Arthur JS Hall v Simons 2002 1 AC 615) re conflict?
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.
When were the SRAs Principles updated?
25 November 2019
What is Principle number 1?
Act in a way that upholds the constitutional principle of the rule of law & the proper administration of justice
What is Principle number 2?
Act in a way that upholds public trust and confidence in the solicitors profession and in legal services provided by authorised persons
What is Principle number 3?
Act with independence
What is Principle number 4?
Act with honesty
What is Principle number 5?
Act with integrity
What is Principle number 6?
Acts in a way that encourages equality, diversity and inclusion
What is Principle number 7?
Act in the best interests of the client
What is the rule of law?
‘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’
Example of a breach to uphold the rule of law principle 1?
Solicitor is convicted of a criminal offence, engaged in a criminal offence or behaviour that disregards the rule of law
What is proper administration of justice?
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
What is the overriding objective is the CPR 1998 & CPR 2020?
Courts duty to deal with cases justly.
Parties are required to help the court.
Example of interfering with the proper administration of justice principle 1?
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.
Principle 2 who can a person be?
A solicitor
An authorised person (any person who is authorised by SRA or other approved regulator)
What does the SRA characterise being ‘at the heart of the legal system’
Public Trust & Confidence
Solicitor/client relationship means (3)
- Protect their Interests (money & assets)
- Represent their best interests (financial & personal)
- Preserve sensitive information (commercially & personal)
Name 3 vulnerable clients-
- PI client may be suffering physical & mental harm due to injury
- Client seeking advice on death of family
- Client charged with a crime at risk of losing their liberty
Does a breach of principle 2 need to cause harm to an individual?
No but harm to the reputation of the profession
Name some instances of a solicitor that will fall foul of principle 2 - (7)
- Dishonesty
- Lack of Integrity
- Lack of Probity
- Criminal offences
- Discriminatory conduct
- Violence/harassment
- Offensive communication
(To name a few)
What are LIPs & if they communicate unprofessionally do they breach the code of conduct?
Litigants in Person - NO
When a solicitor acts unbiased and objectively without consideration for their own interests or others what are they doing?
Acting independently
What should a solicitor put before their own and their clients interests?
Wider Professional obligations to:- Administration of justice.
The rule of law
The courts
What is an example of principle no 3? Independence
Acting in a case and may be a witness
Is honesty a subjective or objective test?
Objective
What two things do the SRA determine if a solicitors conduct is dishonest?
- Knowledge solicitor had at the time
- In view of their knowledge was their conduct dishonest
STANDARD OF AN ORDINARY DECENT PERSON
What is an example of dishonest behaviour? Principle no 4
Telling a client the case is going well when it isn’t
Misleading a court
What does integrity principle 5 mean?
Adherence to the ethical standards of one’s own profession
Example of integrity? Principle no 5
Professional is expected to be more scrupulous about accuracy then a member of the general public in disclosure
Acting with integrity applies to which two ways of behaviour:-
What a person says
What a person does
How best to learn integrity?
Acting without morals
What is an undertaking?
An enforceable promise to do something
Name an example of lack of integrity? Principle no 6
Wilful/reckless/knowingly:-
disregard of standards/rules
Taken advantage of clients
Cause harm or distress
Clients being misled
What is Equality?
Making sure there is a level playing field and people are treated fairly
What is diversity?
Encouraging and valuing all different backgrounds,knowledge,skills
What is inclusion?
Accepting people for who they are and encourage them to participate and contribute
SRA CODE OF CONDUCT 1.1 should you allow your personal views to affect professional relationships in the way you provide services
NO
Can a solicitor refuse or cease to act for a client?
Yes - as long as it’s not because of a protected characteristic
What is in a best interest of the client? Principle 7
Act in a manner which furthers the clients interest & not put clients interests in conflict
Can a client mean future and former clients?
Yes
What are two ways of conflicts of interests?
- Between client & solicitor (own interest conflict)
- Between two clients (those of another client)
Name a few ways to act in the best interests of a client
Confidentiality
Expertise
Capacity
Unauthorised/secret profits
If in doubt about application of adherence with SRA principles what should a solicitor do?
Contact Professional Ethics helpline.
Can request a written decision
What is the main thing to be aware of if there a conflict of the principles?
TAKES PRECEDENCE
Safeguard the wider public’s interest
