1): Ethics and Professional Conduct Flashcards
(31 cards)
What are the SRA Principles candidates must adhere to?
Principle 1: Uphold the constitutional principle of the rule of law and proper administration of justice
Principle 2: Uphold public trust and confidence in the legal profession
Principle 3: Act with independence
Principle 4: Act with honesty
Principle 5: Act with integrity
Principle 6: Encourage equality, diversity, and inclusion
Principle 7: Act in the best interests of each client
What are key solicitor responsibilities under the Code of Conduct?
Personally accountable for compliance 👤
▸ Breaches → SRA action possible ❌
▸ Firms also regulated under separate Code 🏢
What does the Code for Firms regulate?
Standards/business controls for authorised firms (incl. sole practices)
Firm may face regulatory action for breach
When does code of conduct for firms apply?
To legal practice and business activities
Compliance officers ensure compliance
What does the SRA Code of Conduct say about maintaining trust and acting fairly (1.1–1.4)?
Do not allow personal views to affect professional relationships (1.1)
Do not abuse your position for personal gain (1.2)
Comply with undertakings within a reasonable time (1.3)
Do not mislead the court, clients, or others (1.4)
What are solicitors’ responsibilities in dispute resolution and court proceedings (2.1–2.7)?
Do not tamper with or misuse evidence (2.1)
Do not try to improperly influence evidence or witnesses (2.2–2.3)
Only make proper assertions or submissions (2.4)
Comply with court orders and do not show contempt (2.5)
Do not waste court time (2.6)
Highlight relevant legal issues and procedural errors to the court (2.7)
What are solicitors’ duties regarding service and competence (3.1–3.6)?
Only act on proper client instructions (3.1)
Provide competent and timely service (3.2)
Maintain up-to-date skills and knowledge (3.3)
Consider client needs and circumstances (3.4)
Remain accountable when supervising others (3.5)
Keep managed individuals competent and informed (3.6)
What rules apply to handling client money and assets (4.1–4.3)?
Account for client benefits unless agreed otherwise (4.1)
Safeguard entrusted money and assets (4.2)
Only personally hold client money in authorised situations (4.3)
What must a solicitor ensure when referring a client to another person or sharing fees with a third party?
Clients must be informed of:
Any financial/other interest in the referral
Any fee-sharing arrangement (must be in writing)
No payments to introducers under criminal proceedings
Client must not have been improperly acquired
What happens if the SRA suspects a referral fee was paid?
It is presumed to be a referral fee unless the solicitor proves otherwise.
When may a solicitor refer a client to a separate business?
Only if the client gives informed consent.
What restrictions exist on solicitors’ involvement in businesses?
Cannot manage/be involved in a business using the word “solicitors” or suggesting it’s a firm, unless it’s an authorised body.
What annual return obligations apply to practising solicitors, RELs, or RFLs?
Must submit an annual return to the SRA in the prescribed form.
What must a solicitor/REL ensure when providing reserved legal activities in a non-commercial body?
Indemnity insurance must be taken out
Insurance must provide adequate and appropriate cover
When must a solicitor not act due to a conflict of interest?
If there is an own interest conflict or a significant risk of one.
When may a solicitor act despite a conflict of interest?
Only if:
Clients share a common interest or are competing for the same objective
All clients give informed written consent
Effective confidentiality safeguards are in place
It’s reasonable to act for all clients
When can a solicitor disclose client affairs?
If:
Disclosure is required/permitted by law
The client consents
What are exceptions to the duty to disclose material information to the client?
If:
Disclosure is legally prohibited (e.g. national security, crime)
Client consents to non-disclosure
Disclosure may cause serious injury
Info is from a privileged document mistakenly disclosed
When must a solicitor not act due to prior/conflicting client interests?
If the solicitor holds material confidential information about the other party
Unless:
Effective safeguards prevent disclosure
Informed written consent is given
[Co-operation and Accountability] When must the SRA be notified by a solicitor?
If:
They face a criminal charge or conviction.
An insolvency event occurs.
There is a material change to previously provided information.
[Co-operation and Accountability] What must a solicitor do when remedial action is requested by the SRA?
Act promptly and, if needed, investigate possible breaches.
[Co-operation and Accountability] What should a solicitor do if something goes wrong for a client?
Be honest, explain the issue fully, investigate the impact, and notify the SRA.
[Co-operation and Accountability] What must the firm’s Compliance Officer do when notified?
Pass relevant information to the SRA, acting appropriately.
[Client Identification] What must you do regarding who you act for in a matter?
Identify who you are acting for in relation to any matter.
