Client Relationships Flashcards
(41 cards)
The Three Cs
Customer due diligence (CDD)
Conflict check
Client care letter
you do not act where there is a
conflict of interest
Are client care letters an SRA requirement?
No, they are recommended. However, the SRA does require that certain information is put to clients in writing.
Clients must be informed in writing at the time of engagement about (3)
- Their right to complain about your services and your charges
- How a complaint can be made and to whom
- Any right they have to make a complaint to the Legal Ombudsman and when they can make any such complaint.
The level of competence and service the SRA expects from legal professionals are set out in CCS and apply to …
all legal professionals
You ensure that the service you provide to clients is
competent and delivered in a timely manner
Where you supervise or manage others providing legal services, you remain
accountable for the work done by them
Firms should have an effective system for
supervising clients’ matters
Good reasons to terminate a retainer with a client
- failure to pay previous legal fees
- conflicting instructions
- retaining the client would lead to a breaking the law and/or breaching the Codes
A lawyer or law firm cannot terminate their retainer with a client on grounds of
self-interest
What info about costs should be provided to clients?
CCS requires that clients are provided with ‘the best possible information’ about how their matter will be priced
Complaints made by a client should be resolved…
to the client’s satisfaction within 8 weeks
SRA Core Principle 1
Act in a way that upholds the constitutional principle of the rule of law, and the proper administration of justice
SRA Core Principle 2
Act in a way that upholds public trust and confidence in the solicitors’ profession and in legal services provided by authorised persons
In what manner must services be provided to clients?
Competent and timely
What should you do if an own interest conflict arises?
You do not act if there is an own interest conflict or a significant risk of such a conflict
Conflict of interest
a situation where your separate duties to act in the best interests of two or more clients in relation to the same or related matters conflict
substantially common interest
‘a situation where there is a clear common purpose between the clients and a strong consensus on how this is to be achieved’
What are the 3 conditions that must be met for a strong consensus to be achieved?
1) all the clients have given informed consent, given or evidenced in writing
2) where appropriate, you put in place effective safeguards to protect your clients’ confidential information e.g. separate fee earners within the firm acting for the different clients
3) you are satisfied it is reasonable for you to act for all the clients
Which factors should you consider when contemplating a substantially common interest?
the clients’ respective bargaining powers, the extent to which there will be negotiations between the clients, any particular benefits to the clients
How does the SRA define “Clients competing for the same objective”?
two or more clients are competing for an objective which, if attained by one client, will make that objective unattainable to the other client or client
How is objective defined for purpose of “clients competing for the same objective”?
Objective is defined as:
an asset;
a contract; or
a business opportunity
What is the standard conflict check?
There is no standard conflict check, each firm must have their own effective system to identify conflicts
What search should a solicitor carry out to assist a client with funding options?
‘a reasonable and proportionate search’ to establish whether the client has any funding options
