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Ethics and Professional Conduct > Regulatory and legal environment > Flashcards

Regulatory and legal environment Flashcards

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1
Q

What is the definition of ‘profession’ according to the Cambridge English Dictionary?

A

‘Any type of work that needs special training or a particular skill, often one that is respected because it involves a high level of education.’

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2
Q

What are the key components that professionals are governed by?

A

Codes of ethics and a commitment to:
* Competence
* Integrity and morality
* Altruism
* Promotion of the public good

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3
Q

According to the Professional Standards Council, Australia, what is an indicator of trust and expertise?

A

‘Profession’

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4
Q

What does ‘ethics’ mean?

A

‘Moral principles that govern a person’s behaviour or the conducting of an activity.’

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5
Q

What are the key aspects of being a legal professional?

A
  • Knowledge
  • Skill
  • Expertise
  • High level of education and training
  • Trust
  • Ethics
  • Morality
  • Integrity
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6
Q

Why are trust and morality important for legal professionals?

A

Because they owe a duty to promote the public good, not just the interests of their clients.

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7
Q

What types of requirements must lawyers comply with?

A
  • Legal
  • Regulatory
  • Ethical
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8
Q

True or False: Legal professionals only have obligations to their clients.

A

False

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9
Q

Professionalism comprises beliefs about one’s own conduct linked to what?

A

Upholding the principles, laws, ethics, and conventions of a profession.

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10
Q

Fill in the blank: Professionalism requires knowledge and expertise but also _______.

A

[trust and morality]

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11
Q

What is the dual duty of legal professionals?

A

To the public and to their clients.

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12
Q

What does the Legal Services Board regulate?

A

All lawyers in England and Wales

The Legal Services Board oversees the entire legal profession in England and Wales.

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13
Q

Which body regulates solicitors and law firms in England and Wales?

A

Solicitors Regulation Authority (SRA)

The SRA also regulates individuals working for businesses authorized by the SRA.

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14
Q

Who regulates barristers in England and Wales?

A

Bar Standards Board

This board is responsible for the conduct and regulation of barristers.

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15
Q

What is the role of the Chartered Institute of Legal Executives (CILEx)?

A

Regulates legal executives

CILEx oversees the professional standards and conduct of legal executives.

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16
Q

Which body regulates licensed conveyancers?

A

Council for Licensed Conveyancers

This council ensures compliance and proper conduct among licensed conveyancers.

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17
Q

What does the Costs Lawyers Standards Board regulate?

A

Costs lawyers

This board oversees the professional conduct of costs lawyers in legal matters.

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18
Q

To whom can a client complain about legal services?

A

Law Firm, Legal Ombudsman, SRA, Solicitors Disciplinary Tribunal

Clients have multiple avenues for addressing complaints regarding legal services.

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19
Q

What must every law firm have according to the SRA?

A

A complaints procedure

This requirement ensures that clients have a way to address grievances.

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20
Q

What can the Legal Ombudsman (LO) require from a solicitor?

A

Apologise, pay compensation, correct an error, take specific action, pay costs, limit fees

The LO focuses on resolving complaints but does not have disciplinary powers.

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21
Q

What powers does the SRA have regarding complaints?

A

Issue warnings, impose sanctions, reprimand solicitors, order refunds, impose practice restrictions, institute proceedings, revoke firm recognition, close firms

The SRA has significant authority to address misconduct and ensure compliance.

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22
Q

What is the function of the Solicitors Disciplinary Tribunal (SDT)?

A

Deals with serious breaches of SRA rules, disciplines solicitors

The SDT has the power to strike off solicitors, suspend them, and impose fines.

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23
Q

True or False: The SDT has the power to award compensation.

A

False

The SDT can impose penalties but cannot award compensation to clients.

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24
Q

What is the final option for clients unhappy with their legal services?

A

Court action

If all other avenues for complaint resolution fail, clients may resort to legal action.

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25
What is the role of the Law Society?
Represents solicitors, supports careers, fights for solicitors' interests ## Footnote The Law Society advocates for solicitors and ensures their professional needs are met.
26
Fill in the blank: The ________ regulates the conduct of legal executives.
Chartered Institute of Legal Executives (CILEx) ## Footnote CILEx plays a crucial role in overseeing legal executives' professional standards.
27
What are the three components of the SRA Standards and Regulations 2019?
SRA Principles, CCS, CCF ## Footnote SRA stands for Solicitors Regulation Authority, which establishes the ethical standards for solicitors and legal firms.
28
What is the purpose of the SRA Standards and Regulations 2019?
To set out the ethical and professional standards expected from solicitors, law firms, and legal businesses.
29
What does CCS stand for?
Code of Conduct for Solicitors, Registered European Lawyers and Registered Foreign Lawyers.
30
What does CCF stand for?
Code of Conduct for Firms.
31
What do the SRA Accounts Rules regulate?
How law firms hold and manage clients' money.
32
How are individual Principles referred to in the SRA Standards?
As Principle 1, Principle 2, etc.
33
What is the total number of Principles outlined in the SRA Standards?
Seven.
34
List the seven Principles of the SRA Standards.
35
What is the first Principle of the SRA?
Act in a way that upholds the constitutional principle of the rule of law and the proper administration of justice.
36
What is the second Principle of the SRA?
Act in a way that upholds public trust and confidence in the solicitors’ profession and in legal services provided by authorised persons.
37
What is the third Principle of the SRA?
Act with independence.
38
What is the fourth Principle of the SRA?
Act with honesty.
39
What is the fifth Principle of the SRA?
Act with integrity.
40
What is the sixth Principle of the SRA?
Act in a way that encourages equality, diversity, and inclusion.
41
What is the seventh Principle of the SRA?
Act in the best interests of each client.
42
What should take priority if the Principles come into conflict?
Principles that safeguard the wider public interest.
43
Who is responsible for compliance with CCS?
The individual legal professional.
44
What is CCS 7.3 about?
Requires cooperation with the SRA and other regulators during investigations.
45
What does CCF include in addition to the standards in CCS?
Standards about the way firms run their businesses.
46
What are the responsibilities outlined in CCF?
Responsibilities of managers of a firm and requirements for Compliance Officers.
47
What is a Compliance Officer for Legal Practice (COLP)?
A required role in firms to ensure compliance with SRA's rules.
48
What is a Compliance Officer for Finance and Administration (COFA)?
Another required role in firms focused on financial compliance.
49
What is the main function of the SRA Standards and Regulations?
To set standards for individuals and businesses regulated by the SRA.
50
What do the Solicitors Regulation Authority (SRA) Principles require legal professionals to do?
Maintain trust and act fairly ## Footnote The SRA Principles include acting in the best interests of clients, upholding public trust, and ensuring the proper administration of justice.
51
How can maintaining trust and acting fairly conflict with client interests?
It may conflict with the Principle to act in the best interests of each client ## Footnote Legal professionals must balance client interests with integrity and honesty.
52
What is the difference between acting with honesty and acting with integrity?
Integrity is broader than honesty ## Footnote Integrity involves being scrupulous, careful, and accurate.
53
What does CCS 1.1 state regarding unfair discrimination?
You do not unfairly discriminate by allowing your personal views to affect your professional relationships ## Footnote This ensures that personal biases do not interfere with legal services provided.
54
What does CCS 1.2 prohibit?
You do not abuse your position by taking unfair advantage of clients or others ## Footnote Legal professionals must avoid exploiting the vulnerabilities of unrepresented parties.
55
What does CCS 1.4 require of legal professionals?
You do not mislead or attempt to mislead your clients, the court or others ## Footnote This includes both acts of commission and omission.
56
What is an example of misleading a client?
Telling a prospective client they have a strong case when they do not ## Footnote This can create false expectations and undermine trust.
57
What is an example of misleading the court?
Not disclosing a case or statutory provision that goes against your argument ## Footnote Transparency is crucial for upholding the integrity of the legal process.
58
What is an example of misleading others?
Making false representations on behalf of a client to a third party ## Footnote This can damage the reputation of the legal profession.
59
What are the key SRA Principles related to maintaining trust and acting fairly?
* Principle 1: Upholding the rule of law * Principle 2: Upholding public trust * Principle 3: Acting with independence * Principle 4: Acting with honesty * Principle 5: Acting with integrity * Principle 7: Acting in the best interests of each client
60
True or False: Acting with integrity means you can help a client with dishonest or illegal actions.
False ## Footnote Legal professionals must refuse to assist clients in illegal or dishonest actions.
61
What must legal professionals ensure when dealing with unrepresented clients?
Maintain a balance between acting in their client’s best interests and not taking advantage of the opponent’s lack of legal knowledge ## Footnote Ethical conduct is essential in ensuring fair treatment.
62
Fill in the blank: Integrity is about being ______, careful, and accurate.
scrupulous
63
What does equality mean in the context of EDI?
Making sure there is a level playing field and people are treated fairly.
64
What does diversity refer to in the context of EDI?
Encouraging and valuing people with a broad range of different backgrounds, knowledge, skills and experiences.
65
What does inclusion mean in the context of EDI?
Accepting people for who they are and encouraging everyone to participate and contribute.
66
Why is EDI important according to the SRA?
For many reasons including: * The effective administration of justice. * Improving access to services. * Allowing the most talented people to progress in their careers.
67
What are the protected characteristics under the Equality Act 2010?
* Age * Disability * Gender reassignment * Marriage and civil partnership * Pregnancy and maternity * Race * Religion or belief * Sex * Sexual orientation
68
What is the primary obligation of the SRA under Principle 6?
You must act in a way that encourages equality, diversity and inclusion.
69
What does CCS 1.1 state regarding personal views?
You do not unfairly discriminate by allowing your personal views to affect your professional relationships and the way in which you provide your services.
70
What must firms provide to disabled clients and employees?
Reasonable adjustments to make sure they are not at a substantial disadvantage compared to those that are not disabled.
71
What is the importance of monitoring and publishing workforce diversity data?
To encourage diversity at all levels of the workforce.
72
What should firms do regarding complaints related to discrimination?
Have a complaints procedure and ensure complaints are dealt with promptly, fairly and effectively.
73
Fill in the blank: The Equality Act 2010 protects people from _______ in the workplace.
discrimination
74
True or False: The SRA's obligations are limited to compliance with the law.
False
75
What is one of the recommended actions for employers regarding EDI policies?
Draft and implement an EDI policy outlining the employer’s approach to recruitment, retention and progression.
76
What is the role of personal views in professional interactions according to CCS 1.2?
You do not abuse your position by taking unfair advantage of clients or others.
77
According to the SRA, what should be upheld in both professional and personal life?
The reputation of the profession and treating people fairly and with dignity and respect.
78
What does CCS 3.4 require you to consider in your practice?
Your client’s attributes, needs and circumstances.
79
What is one of the benefits of EDI in legal careers?
Allowing the most talented people to progress in their legal careers.
80
What is the purpose of the Equality Act 2010?
To provide a legal framework to protect the rights of individuals and advance equality of opportunity for all.
81
When did the Equality Act 2010 come into force?
October 2010.
82
What does the Equality Act 2010 consolidate?
It consolidates and replaces previous discrimination legislation.
83
List the protected characteristics under the Equality Act 2010.
* Age * Disability * Gender reassignment * Marriage and civil partnership * Pregnancy and maternity * Race * Religion or belief * Sex * Sexual orientation
84
What are the key categories of unlawful discrimination under the Equality Act 2010?
* Direct discrimination * Indirect discrimination * Harassment * Victimisation
85
Define direct discrimination.
Direct discrimination occurs when A treats B less favourably than A treats or would treat others because of a protected characteristic.
86
Provide an example of direct discrimination.
A club deletes a pregnant woman from their list, assuming she won't want to attend salsa evenings.
87
What is indirect discrimination?
Indirect discrimination occurs when a provision, criterion, or practice disadvantages a group of people with a protected characteristic.
88
Provide an example of indirect discrimination.
An employer requiring full-time work, which could disadvantage women with childcare responsibilities.
89
What is the general definition of harassment under the Equality Act 2010?
A harasses B if A engages in unwanted conduct related to a protected characteristic that violates B’s dignity or creates an offensive environment.
90
Give an example of harassment.
Two male shop assistants loudly commenting on a female shopper’s breasts.
91
What is victimisation under the Equality Act 2010?
Victimisation occurs when A subjects B to a detriment because B has done, or is believed to have done, a protected act.
92
List some protected acts under the victimisation provisions.
* Bringing proceedings under the Equality Act 2010 * Giving evidence in connection with proceedings * Alleging a contravention of the Act
93
What do the disability provisions of the Equality Act 2010 require?
They require taking active steps to reduce barriers faced by disabled people.
94
What is the duty to make reasonable adjustments?
Service-providers must take steps to ensure disabled persons can use services as close as possible to the standard offered to non-disabled people.
95
What does the duty to make reasonable adjustments include?
* Changing practices * Altering physical features * Providing auxiliary aids or services
96
What is the first requirement of the duty to make reasonable adjustments?
Changing the way things are done that may present barriers to disabled people.
97
What is the second requirement of the duty to make reasonable adjustments?
Making changes to overcome barriers created by the physical features of premises.
98
What is the third requirement of the duty to make reasonable adjustments?
Providing extra aids and services to enable disabled people to use the service.
99
What is the anticipatory nature of the duty to make reasonable adjustments?
Service providers must anticipate the needs of disabled people and make adjustments proactively.
100
True or False: The Equality Act 2010 allows for discrimination in any area of activity.
False.
101
What areas of activity does the Equality Act 2010 cover?
* Employment * Education * Housing * Provision of services * Public functions * Membership of associations
102
What happens if a disabled person can prove that reasonable adjustments were not made?
They can bring a claim for receiving a poor or inferior service and may be awarded compensation.
103
What is an undertaking?
A statement, given orally or in writing, that someone will do something or refrain from doing something. ## Footnote An undertaking can be relied upon by someone who reasonably places trust in it.
104
What are the SRA Principles related to solicitors' conduct?
* Principle 1: Uphold the rule of law and proper administration of justice * Principle 2: Uphold public trust and confidence in the profession * Principle 3: Act with independence * Principle 4: Act with honesty * Principle 5: Act with integrity
105
What does CCS 1.3 require solicitors to do regarding undertakings?
Perform all undertakings within an agreed timescale or within a reasonable amount of time if no timescale is agreed. ## Footnote Failure to perform an undertaking can lead to serious disciplinary action.
106
Who can give an undertaking in a law firm?
Any individual in a law firm, including partners, qualified lawyers, apprentices, and secretaries. ## Footnote An undertaking does not need to be in writing; an oral statement can suffice.
107
What is the importance of the SMART criteria for drafting undertakings?
* Specific * Measured * Agreed * Realistic * Timed
108
What is the consequence of misleading the court as per CCS 1.4?
Solicitors must not mislead or attempt to mislead clients, the court, or others. ## Footnote Inadvertent misleading may not constitute misconduct if corrected immediately.
109
What actions might constitute misleading the court?
* Drafting unarguable documents * Making allegations of crime without reasonable grounds * Calling a witness with known untrue evidence
110
What does CCS 2.1 prohibit?
Misusing or tampering with evidence.
111
What is the role of a solicitor as defined under Section 50(1) of the Solicitors Act 1974?
A solicitor is an 'officer of the court'.
112
What should solicitors do if they inadvertently mislead the court?
Inform the court immediately with the client's consent, or cease to act for the client if consent is not given.
113
What does CCS 2.6 require solicitors to avoid?
Wasting the court's time.
114
What is a good practice for law firms regarding undertakings?
Maintain an effective system for recording when undertakings have been given and when they have been discharged.
115
What does CCS 2.7 require solicitors to do?
Draw the court's attention to relevant cases, statutory provisions, or procedural irregularities.
116
True or False: An undertaking must always be in writing.
False
117
Fill in the blank: An undertaking can be given orally or in _______.
writing
118
What is the potential disciplinary consequence of failing to perform an undertaking?
It can be a serious disciplinary offence leading to investigation by the SRA.
119
What is the purpose of undertakings in legal practice?
To overcome practical difficulties and facilitate transactions.
120
What should firms do to ensure compliance with undertakings?
Have procedures in place to procure compliance, such as requiring clients to fund costs prior to giving undertakings.
121
What is the main focus of the SRA requirements regarding dealing with clients and other people?
The main focus is on how legal professionals should interact with clients, the court, and other professionals.
122
Who are the different people legal professionals typically deal with?
Clients, members of the public, the court, barristers, medical or technical experts, social workers, other lawyers, and officials at Land Registry and Companies House.
123
What does Principle 7 state regarding client interaction?
You must act in the best interests of each client.
124
What does CCS 3.2 require from legal professionals in terms of service delivery?
You ensure the service you provide to clients is competent and delivered in a timely manner.
125
What is the obligation of legal professionals regarding competence?
You need to ensure that you are competent to carry out the work you are required to do.
126
What should you do if you do not know how to perform a task?
You must get help from someone.
127
What does CCS 3.3 emphasize about professional knowledge?
You maintain your competence to carry out your role and keep your professional knowledge and skills up to date.
128
What should you consider according to CCS 3.4 when providing legal advice?
You should take account of your client's attributes, needs, and circumstances.
129
What is the responsibility of managers regarding the competence of their team?
Managers must ensure that the individuals they manage are competent and keep their professional knowledge and skills up to date.
130
What does CCS 4.2 require regarding money and assets?
You safeguard money and assets entrusted to you by clients and others.
131
What are legal professionals required to comply with when handling client money?
They must comply with the SRA Accounts Rules and anti-money laundering regulations.
132
What is an 'undertaking' in legal terms?
An undertaking is a promise made by a legal professional to do something that another party relies on.
133
What is the consequence of failing to comply with an undertaking?
It can be a serious disciplinary offence leading to investigation by the SRA for professional misconduct.
134
What must solicitors uphold according to Principle 1?
Act in a way that upholds the constitutional principle of the rule of law and the proper administration of justice.
135
What does Principle 2 emphasize regarding public trust?
Act in a way that upholds public trust and confidence in the solicitors’ profession and legal services.
136
What does CCS 2.1 prohibit regarding evidence?
You do not misuse or tamper with evidence or attempt to do so.
137
What does CCS 2.2 state about influencing evidence?
You do not seek to influence the substance of evidence, including generating false evidence.
138
Fill in the blank: Legal professionals must act with _______ when dealing with the court.
[integrity]
139
What are the parties you deal with expected to trust?
That your behavior meets a professional standard.
140
What is the obligation of legal professionals regarding their legal knowledge?
They must ensure their legal knowledge is up to date and provide a competent service.
141
What do law firms have regarding procedures for giving undertakings?
Strict procedures that must be followed before an employee gives an undertaking.
142
What is the overall responsibility of legal professionals towards client assets?
Keep money or assets that clients entrust to you safe.
143
What is the SRA’s key concern regarding publicity?
That firms’ publicity is not misleading ## Footnote CCS 8.8 emphasizes the need for accuracy in publicity related to practice charges and client interest.
144
Define publicity according to the SRA Glossary.
'All promotional material and activity, including the name or description of your firm, stationery, advertisements, brochures, websites, directory entries, media appearances, and direct approaches to potential clients.'
145
What does CCS 8.9 state regarding unsolicited approaches?
Solicitors must not make unsolicited approaches to members of the public, except for current or former clients.
146
List examples of marketing approaches that demonstrate non-compliance with CCS 8.9.
* Approaching people in the street * At ports of entry * At hospitals * At the scene of an accident.
147
What do the SRA Transparency Rules require from solicitors?
They must make available specific information to clients and potential clients.
148
What costs information must be published according to Rule 1.5?
* Total cost of the service * Basis for the charges * Experience and qualifications of personnel * Description and cost of likely disbursements * VAT details * Services included in the price displayed * Circumstances under which clients may have to make payments themselves.
149
What must an authorized body display on its website according to Rule 4.1?
Its SRA number and the SRA’s digital badge.
150
What defines an introducer in the context of solicitor referrals?
'Any person, business or organisation who introduces or refers clients to your business.'
151
What is the definition of a referral according to the text?
An arrangement where a law firm refers clients to a third party in exchange for a fee.
152
What does CCS 5.1 require regarding client referrals?
* Clients must be informed of any financial interest in referrals * Clients must be informed of any fee sharing arrangements * Fee sharing agreements must be in writing.
153
What is prohibited under Section 56(1) of the Legal Aid, Sentencing and Punishment of Offenders Act 2012?
Solicitors are prohibited from referring or receiving referrals for personal injury claims in exchange for a referral fee.
154
What constitutes a referral fee according to section 57(7) LASPO?
A payment made in consideration for the referral of a client that is prohibited under section 56 LASPO.
155
What must law firms ensure regarding business contacts under the Bribery Act 2010?
That they have an anti-bribery policy and comply with it.
156
What is the offence defined by the Bribery Act 2010?
It is an offence for a UK citizen or resident to pay or receive a bribe directly or indirectly.
157
What is considered good practice when managing introductions and referrals?
* Make a statement to the client that advice will be independent * Confirm confidentiality of information disclosed * Monitor potential client conflict issues.
158
True or False: Solicitors can pay introducers a fee for referring clients involved in criminal proceedings.
False.
159
Fill in the blank: CCS 8.8 requires that a firm’s publicity must be _______.
accurate and not misleading.
160
What does CCS 5.1(d) prohibit?
Solicitors from making payments to introducers for clients who are subjects of criminal proceedings.
161
What is the main focus of the element exploring obligations when dealing with confidential information?
To understand legal obligations in protecting confidential information
162
What are the two key areas considered in dealing with confidential information?
* Data Protection Act 2018 * Duty of Confidentiality under the SRA’s Code of Conduct for Solicitors, RELs and RFLs ('CCS')
163
What does the Data Protection Act 2018 control?
How ‘personal data’ about individuals is used by organisations
164
Define 'personal data' as per the Data Protection Act 2018.
Information about a particular living individual, including customers, clients, employees, and others
165
Does 'personal data' include information that is public knowledge?
Yes, it can include information about someone’s professional life
166
What is excluded from the definition of 'personal data'?
Truly anonymous information
167
What are the data protection principles outlined in the Data Protection Act?
* Used fairly, lawfully, and transparently * Used for specified explicit purposes * Adequate, relevant, and limited to necessary data * Accurate and kept up to date * Kept for no longer than necessary * Handled securely
168
What duty do solicitors owe to their clients regarding confidentiality?
A duty of confidentiality to keep clients' affairs confidential
169
What does CCS 6.3 state about the duty of confidentiality?
You keep the affairs of current and former clients confidential unless disclosure is required or permitted by law or the client consents
170
Does the duty of confidentiality apply after a client's death?
Yes, it continues to apply
171
What are some exceptions to the duty of confidentiality?
* Disclosure required by law * Disclosure required by government bodies like HMRC * Compliance with court orders
172
What is the duty of disclosure as set out in CCS 6.4?
To make your client aware of any information material to their case of which you have knowledge
173
What are exceptions to the duty of disclosure?
* Potential serious harm to client or another person * Legal restrictions prohibiting disclosure * Duty of disclosure to another client
174
Summarize the obligations of a legal professional regarding confidential information.
* Comply with legal obligations to protect confidential information * Process personal data according to the Data Protection Act 2018 * Maintain confidentiality under CCS 6.3 * Make clients aware of material information under CCS 6.4
175
What is the duty of confidentiality under CCS 6.3?
You keep the affairs of current and former clients confidential unless disclosure is required or permitted by law or the client consents ## Footnote This duty applies to current and former clients and continues after a client's death.
176
What are the exceptional circumstances in which the duty of confidentiality can be breached?
* Certain statutes empower disclosure * Statutory or regulatory reporting requirements * Supporting a defence in civil or criminal claims * Cases involving child abuse where health is in danger ## Footnote Compliance with these obligations often requires consultation with a Compliance Officer.
177
What is the duty of disclosure as stated in CCS and CCF 6.4?
An individual solicitor must disclose to a client all information which is material to the client’s matter of which the solicitor has personal knowledge ## Footnote This duty is personal and does not extend to information known by others in the firm.
178
What are the exceptions to the duty of disclosure under CCS and CCF 6.4?
* Disclosure prohibited by legal restrictions * Client gives informed consent in writing * Serious injury may occur if disclosed * Information is contained in a privileged document mistakenly disclosed ## Footnote Circumstances for exceptions (a), (c), and (d) are rare.
179
What does 'material' mean in the context of CCS 6.4?
'Material' is information which might reasonably affect the client’s decision-making significantly ## Footnote This definition is derived from the 2007 SRA Code of Conduct.
180
When can a solicitor not act for a new client (Y) due to confidentiality with another client (X)?
When the solicitor’s duty of confidentiality to client X prevents disclosure of material information obtained in relation to X's case to client Y ## Footnote Informed consent from Y is required for the solicitor to act.
181
What takes precedence when there is a conflict between duty of confidentiality and duty of disclosure?
The duty of confidentiality takes precedence ## Footnote This can create challenges for solicitors when acting for clients with adverse interests.
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What is an example of a conflict of interest involving a solicitor?
A solicitor acted for Mr. Smith in a criminal case and later is approached by Mrs. Smith for divorce proceedings involving allegations against Mr. Smith ## Footnote The solicitor cannot disclose Mr. Smith's conviction to Mrs. Smith without breaching confidentiality.
183
What are the conditions under which a solicitor may act for a client with an adverse interest according to CCS 6.5?
* Effective measures taken to prevent disclosure * Informed consent from the current/former client whose information is held ## Footnote 'Adverse interest' refers to situations where one party may become the opposing party.
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What constitutes effective measures to protect confidential information?
* Systems to identify confidentiality issues * Separate departments handling cases * Separate servers for information * Encryption and password protection * Staff awareness of who can discuss matters ## Footnote The test for effective measures is high to ensure protection of client information.
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What should a solicitor do if they cannot guarantee compliance with CCS 6.5?
They might consider referring the client to another firm ## Footnote This is to avoid potential breaches of confidentiality.
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What is the significance of informed consent in the context of confidentiality?
Informed consent means the client understands the importance and implications of non-disclosure of information ## Footnote Measures to protect information must be in place before seeking consent.
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According to the summary, what does CCS 6.3 require regarding client affairs?
You must keep the affairs of current and former clients confidential unless disclosure is required or permitted by law or the client consents.
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What does CCS 6.4 require when acting for a client?
You must make the client aware of all information material to the matter of which you have knowledge.
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What are the two conditions under CCS 6.5 for acting for a client with adverse interests?
* Effective measures taken to prevent real risk of disclosure * Informed consent from the client whose information is held.

Ethics and Professional Conduct (1 decks)

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