SRA Principles

Question 1

What are 7 SRA Principles?

Answer 1

• Rule of law and administation of justice
• Confidence in profession and public trust (applies equally to solciitor’s proviate life, e.g. criminal conviction relevant)
• Indepdence (solicitor’s own indepdence and firm’s)
• Honesty (solicitor convicted of an offence of dishonesty is likely to be struck off)
• Integrity
• Equality, diversity and inclusion (solicitor must enourage, positive duty, not unfairly discriminate in refusing to act)
• Client’s best interest (common law fiduciary position, putting client’s interests above their own, providing clients with a proper level of service)

Question 2

2 Codes

Answer 2

• SRA Code of Conduct for Solicitors
• SRA Code of Conduct for Firms

Breach of code can encompass action against solicitor, firm or both

Question 3

Client Care & Complains

Answer 3

Client must be:
* able to make informed decisions
* told about how their matter will be priced and the overall costs (best posssible information about price)
* told about their right to complain about solciitor’s service and their charges

Complains must be dealt with promptly, fairly, for free.

Question 4

Confidentiality & Discolosure

Answer 4

• Duty to keep the affairs of former and current clients confidential, unless disclosure is required or permitted by law or** client consents**.
• Duty of confidentiality extends all info regarldess of the source, contirnues after end of retainer and after client’s death
• Duty to make client aware of all info about client’s matter information material to the matter of which you have knowledge (i.e. duty to disclose to a client all relevant info which solicitor has personally knowledge of unless exeptions apply)

Question 5

Clash of duties?

Client X tells you smth that is beneficial to client Y.

Answer 5

Solicitor can no longer act for both clients = conflicting duties.

Can be represented by different solicitor’s in the firm so long as there is no conflcit.

Question 6

Own interest conflcit

Clash between interest of client & solicitor

Answer 6

Occurs when interest of client conflicts with solciitor’s = absolute bar to act for solicitor in this case!

Question 7

Client conflict

Answer 7

When conflict of interest in relation of two or more existing client in relation to the same or related matter. Such a conflict means solciitor cannot act in the best interests of each client. Solicitor cannot act for both or all client where there is a conflcit of interest.

Question 8

Exceptions to client’s conflcit rule?

Answer 8

1. Substantially ‘common interest’ exception
2. ‘Competing for the same objective’ exception

Question 9

Family solicitor approached by couple who want to get divorced amicably.

Answer 9

No actual conflcit between them now, but potential of conflict in the future e.g. better deal. Significant risk of conflcit arising would prevent solicitor acting for them.

Question 10

Reporting to SRA

Answer 10

Obligation to report propmtly facts or matters reasonmably beleived to be a serious breach of regulatory arrangements.