What are the seven mandatory principles (SRA)?
A solicitor must act:
1. In a way that upholds the rule of law and the proper administration of justice.
2. In a way that upholds public trust and confidence in the profession and legal services.
3. With independence.
4. With honesty.
5. With integrity.
6. In a way that encourages equality, diversity and inclusion.
7. In the best interest of each client.
What happens when two or more SRA Mandatory Principles come into conflict?
The Principle which safeguards the wider public interest takes precedence over individual client’s interests.
What is the obligation re disabled clients or employees?
Provide reasonable adjustments to ensure that the disabled clients and employees are not placed at a substantial disadvantage compared to those who are not disabled, and you must not pass on the costs of these adjustments to others.
How can the standard of not misleading others be violated?
By:
1. Affirmative acts;
2. Omissions; or
3. Being complicit in the acts or omissions of others (including own client).
a solicitor fails to inform someone else that their view on a matter is incorrect
What is an undertaking?
- a statement given orally or in writing (whether or not it includes the word undertaking);
- to someone who reasonably places reliance on it;
- that [you] or a third party will do something or cause something to be done, or refrain from doing something.
What are the consequences of breach of an undertaking?
A solicitor is personally bound to comply with an undertaking.
An undertaking can be enforced by the court (compensation for any incurred loss).
The SRA, LeO, and SDT do not have the power to enforce an undertaking, but any breach may be a breach of professional conduct which may lead to sanctions.
What are the main ethical principles regarding evidence?
- Not to misuse or tamper with evidence or attempt to do so.
- Not seek to influence the substance of evidence.
What are the main rules re compensating witnesses?
It is not a breach to pay legitimate travel expenses or to pay a witness for the earnings they would lose by not attending work.
What are the main rules for respecting the Court? (3)
- Not wasting the Court’s time (all submissions must be properly arguable).
- Complying with court orders.
- Drawing the court’s attention to relevant cases and statutory provisions, and any procedural irregularities that are likely to have a material effect on the outcome.
What are the requirements for fee sharing agreements with a third party?
- They must be in writing.
- The client needs to be informed of any fee sharing agreement relevant to their matter.
What are the rules re referral payments with respect to criminal proceedings?
Receiving or making payments relating to a referral or making payments to an introducer in respect of clients who are the subject of criminal proceedings is prohibited.
What is your obligation if you receive financial benefit as a result of a client’s instructions?
You must properly account to the client for that financial benefit unless the client has already agreed otherwise.
What are the rules re referral payments with respect to claims for damages following personal injury or death?
The payment or recipient of referral fees is prohibited. The prohibition also applies to ancillary claims arising from the same circumstances (e.g., an uninsured loss recover claim resulting from the accident).
Who has the burden of proof re possible prohibited referral fees: SRA or a solicitor/firm?
The payment will be treated as a prohibited referral fee unless a solicitor/firm demonstrates otherwise.
What is your obligation re annual return towards the SRA?
If you hold a practising certificate, you must complete and deliver to the SRA an annual return in the prescribed form.
What are the obligations re indemnity insurance of solicitors in non-commercial bodies who provide reserved legal activities to the public?
The solicitor must ensure that the body takes out and maintains adequate and appropriate indemnity insurance in respect to all services the solicitor provides, regardless of whether they compromise reserved legal activities.
What are the reserved legal activities?
- The exercise of a right of audience;
- Conducting litigation;
- Preparing instruments relating to real or personal estate;
- Preparing probate papers;
- Notarial activities;
- The administration of oaths.
What are the two types of conflict?
- Own interest conflict: between the solicitor (or firm) and the client;
- Conflict of interest/client conflict: conflicts between two or more current clie to.
When a matter is considered “related”?
If it relates to the same asset or liability.
If there is a conflict, can other solicitors in the same firm act?
Generally, no.
When (at which point in time) a solicitor should consider conflicts of interest?
Before the retainer has been created and throughout the retainer.
What is the ‘professional embarassment’?
The firm considers that it cannot act in the best interests of the client, possibly due to considerations that are relevant to the firm.
Examples of own interest conflicts
- Any financial interest in the client’s business.
- A gift of a significant value in a will that the solicitor is drafting for the client.
- Personal relationship.
- Commercial interest in a business adverse to the potential client’s business.
- Employment claim against the solicitor’s firm.
- When solicitor’s own conduct is in question.
Is there any exception to an own interest conflict?
No.
