Ethics and Professional conduct Flashcards
(42 cards)
What are the 7 mandatory principles for solicitors under the SRA?
- Uphold the rule of law and the proper administration of justice
- Uphold public trust and confidence in the profession
- Act with independence (freedom from improper influence)
- Act with honesty
- Act with integrity (moral soundness / moralisches Verantwortungsbewusstsein)
- Encourage equality, diversity, and inclusion
- Act in the best interests of each client
📝 Exam Tip: These principles apply at all times – including in private life and outside legal practice.
When can the SRA investigate a solicitor’s private conduct?
The SRA may act even if the misconduct happened outside work, e.g., a criminal offence.
➡️ A solicitor cannot rely on ‘just following orders’ (e.g., from an employer) to excuse unethical conduct.
📝 Exam Tip: Misconduct outside of practice can still lead to sanctions or being struck off.
What is the duty to maintain public trust and fairness?
Solicitors must:
- Not unfairly discriminate
- Not take unfair advantage of unrepresented parties
- Provide reasonable adjustments for disabled clients
- Not mislead others, even by omission (Unterlassen)
📝 Exam Tip: Backdating letters or hiding a hearing date = breach of integrity & trust.
What is an undertaking and how is it enforced?
An undertaking is a solicitor’s binding promise (oral or written) to do or not do something.
- Can be enforced by courts or regulatory action
- Can be given by the firm or individual solicitor
📝 Exam Tip: Even a promise made by a secretary may bind the solicitor/firm if the other party relied on it.
What is the solicitor’s duty regarding witnesses?
- Must not pay witnesses for favorable testimony
- May reimburse reasonable travel costs and lost income
- Cannot link payment to case outcome
📝 Exam Tip: Paying a witness based on success = unethical & disciplinary offence.
From whom can a solicitor accept instructions?
- From the client or someone authorised by the client
- If client lacks capacity, act in their best interests
- Joint clients may authorise one to instruct on behalf
📝 Exam Tip: Confirm the true intention of elderly/vulnerable clients when third parties are involved.
What financial duties does a solicitor owe to clients?
- Must account for financial gains unless client consents otherwise
- Must protect client property/assets
- Must not accept referral fees in criminal/PI cases
- Can refer client to related business only with full disclosure and consent
📝 Example: Profiting from client’s land transaction without disclosure = breach.
What are solicitors’ duties in managing their business?
- Must remain independent (avoid exclusive referral agreements)
- Must have indemnity insurance
- Must appoint a COLP (Compliance Officer for Legal Practice)
- Must appoint a COFA (Compliance Officer for Finance and Administration)
What are the types of conflicts of interest?
- Own interest conflict – solicitor’s personal interest vs. client interest (absolute bar)
- Client conflict – two or more clients’ interests conflict
📝 Exam Tip: Solicitors must decline to act if there’s an own interest conflict – even with client consent.
What is the duty of confidentiality?
- Applies to all client information
- Survives after client relationship ends
- Can only be breached with consent, or to prevent crime/serious harm
📝 Exam Tip: Support staff breaches count – firm remains liable.
When must a solicitor report to the SRA?
- When they are:
• Declared bankrupt
• Charged with or convicted of a criminal offence
• Given a police caution - Or when there is a material change in previously provided information
📝 Exam Tip: Reporting may breach client confidentiality but is still required where public interest demands it.
What is the retainer?
The retainer is the contract between the solicitor and the client to carry out the agreed legal services, usually in return for the payment of the solicitors legal fees, plus any Value Added Tax (VAT).
Note: If the solcitor does not indicate that the legal fees are subject to VAT, the legal fees are deemed to include the VAT.
What happens if two or more principles for solicitors under SRA come into conflict?
The principle which safeguards the wider public interest (such as the rule of law, and a safe and effective market for regulated legal service) takes precedence over an individual client’s interests.
How does a solicitor uphold the rule of law?
A solicitor upholds the rule of law by acting in a way that respects proper administration of justice.
What does upholding public trust in the solicitors’ profession involve?
It involves avoiding dishonesty and the commission of criminal offences in both professional and private life.
Why might a solicitor be struck off the roll?
If a solicitor is convicted of a criminal offence, this would be a breach of the principle to uphold public trust in the profession, leading to the solicitor being struck off the roll.
What does acting with independence mean for a solicitor?
Acting with independence means a solicitor cannot put themselves in a position where decisions will be made by someone other than the solicitor or client, or in a position where they are not free to make an independent decision.
How does the requirement of honesty apply to a solicitor’s conduct?
A solicitor may not lie to a client, opponent, or judge.
What does acting with integrity involve for a solicitor?
Acting with integrity means not taking unfair advantage of an unrepresented opponent’s lack of legal knowledge.
Why must a solicitor’s personal conduct meet appropriate standards?
As the solicitor is in a position of trust, their behavior in their personal life must also meet appropriate standards, meaning an act in private life could mean they failed to act with honesty or integrity.
How should a solicitor demonstrate commitment to equality, diversity, and inclusion?
A solicitor should not avoid hiring people based on sex, race, national origin, age, or similar characteristics.
What does acting in the best interests of each client require?
It requires that a solicitor may not neglect a minor case so they can focus on more lucrative cases.
Which principle takes precedence when two principles conflict?
If two Principles come into conflict, the Principle which safeguards the wider public interest takes precedence.
Can the SRA consider a solicitor’s private conduct when deciding whether to discipline them?
Yes, the SRA can consider a solicitor’s conduct that occurs outside of practice (private conduct) when deciding whether to punish the solicitor.
