The extent of the duties under CD 3 and 4

Question 1

CD 3

Answer 1

You must act with Honest and Integrity

Question 2

CD 4

Answer 2

You must maintain your independence

Question 3

What is the extend of the duties under CD 3 and CD 4?

Answer 3

rC8

You must NOT do anything which could reasonably be seen by the public to undermine your HONESTY, INTEGRITY (CD 3) and INDEPENDENCE (CD 4).

gC14
Your duty to act in accordance with CDs 3 and 4 overrides your duty to act in the client’s best interests (CD 2).

Question 4

How do CD 3 and CD 4 interact with CD 2?

Answer 4

Your duty to act in accordance with CDs 3 and 4 overrides your duty to act in the client’s best interests (CD 2).

Question 5

What personal responsibility do you have for all work done?

Answer 5

rC20

You are PERSONALLY RESPONSIBLE for your own conduct and for your professional work. You MUST use your own PROFESSIONAL JUDGMENT in relation to matters in which you are instructed. You must do this IRRESPECTIVE of the views of your client, professional client, employer or any other person

gC66
You are also personally responsible for the service provided by those who represent you in your dealings with clients, e.g. your clerks.

gC65
You can outsource certain tasks to others (e.g. research) but you remain personally responsible for that work as well.

Question 6

What is encapsulated in the duty to act with honesty and integrity?

Answer 6

rC9

Your duty to act with honesty, and with integrity includes the following: You MUST:

(i) NOT knowingly or recklessly MISLEAD or attempt to mislead ANYONE;
(ii) NOT draft any statement of case, witness statement, affidavit or other document containing:
(1) Any statement of fact or contention that is NOT SUPPORTED by your client or your instructions;
(2) Any contention which is NOT PROPERLY ARGUABLE;
(3) Any allegation of FRAUD, UNLESS you have CLEAR INSTRUCTIONS to allege fraud and REASONABLY CREDIBLE material which establishes an arguable case of fraud;
(4) (in a witness statement or affidavit) any statement of fact other than the evidence which you reasonably believe the witness would give if the witness were giving evidence orally;
(iii) NOT encourage a witness to give evidence which is MISLEADING or UNTRUTHFUL.
(iv) NOT REHEARSE, PRACTISE WITH OR COACH a witness in respect of their evidence.
(v) NOT COMMUNICATE with any witness (including the client) about the case while the witness is giving evidence, WITHOUT the permission of the opposing side or the court.

(1) This applies to any breaks (e.g. lunch or overnight) in the witness’s evidence.
(vi) NOT make or offer PAYMENTS to any witness contingent on their evidence or the outcome of the case.

(vii) only propose or accept LEGAL FEE ARRANGEMENTS.

Question 7

What can be considered as compromising your independence?

Answer 7

gC18

The following may reasonably be seen as compromising your independence:

(i) Offering, promising or giving to any client, professional client or intermediary:
(1) Any COMMISSION or REFERRAL FEE (of whatever size);
(2) A GIFT (apart from items of modest value);
(ii) LENDING MONEY to any client, professional client or intermediary;
(iii) Accepting ANY MONEY from any client, professional client or intermediary, UNLESS it is a payment for your professional services or reimbursement for expenses made on client’s behalf. (See 7.6. below for further rules on handling client money)

gC19
If you are offered a GIFT by any client, professional client or intermediary you must consider carefully whether the CIRCUMSTANCES and SIZE of the gift would reasonably lead others to think that your INDEPENDENCE had been COMPROMISED. If it would lead to that conclusion, you should REFUSE to accept the gift.

gC20
The giving or receiving of ENTERTAINMENT at a disproportionate level may give rise to a similar issue and should not be offered or accepted if it would lead others to think that your INDEPENDENCE had been COMPROMISED.