What are the 7 Mandatory Principles in Ethics?
- Uphold the Rule of Law; 2. Uphold public trust in the profession; 3. Act with Independence; 4. Act with honesty; 5. Act with Integrity; 6. Encourage equality, diversity and inclusion; 7. Act in the best interest of each client.
If 2 principles conflict, what do you do?
The principle that safeguards the wider public interest take precedence.
What does the SRA consider with a solicitor’s conduct?
SRA can consider conduct that occurs outside of practice, the solicitors private conduct, in the decision to punish a solicitor for a breach in SRA Standards and Regulations.
What is NOT a defense for a solicitor that works in a company that has breached the SRA Standards and Regulations?
it is NOT a defense that the company board ordered the solicitor to undertake the conduct that forms the basis of the breach, the solicitor must always comply with SRA Standards and Regulations in all circumstances.
Can a solicitor refuse to act because they disagree on the client’s views?
A solicitor is NOT allowed to discriminate unfairly based on their personal views. They cannot refuse to act on issues not related to the client’s matter or let personal views affect their professional relationships.
What obligations do solicitors have for disabled clients/ employees? (2)
Solicitors have an obligation to: 1. provide reasonable adjustments to ensure they are 2. not placed at a substantial disadvantage compared to those who are not disabled.
Can a solicitor pass the cost of reasonable adjustment to others?
No, you must NOT pass the cost of reasonable adjustment to others.
How do you approach an unrepresented party?
You may NOT take unfair advantage of another party to a transaction who is unrepresented. i.e. You should not include unreasonable clauses in an agreement to favor your client and assure the other party that they are standard terms, when they are not.
Can solicitors mislead another party and the Court?
No, you may NOT mislead the other party and the Court. Misleading can arise from both action and inaction. Omission would be a breach as the solicitor fails to inform someone that their view is incorrect . You must alert the mistaken Party of any errors in dates/letters etc.
What is an Undertaking? (3)
This is a; 1. statement given orally or in writing, 2. to someone who places reasonable reliance on it, 3. that you or a third party will do something or cause something to be done, or refrain from doing something.
What MUST you do with an Undertaking? (2)
- if you or a member of the firm gives an undertaking, you must perform it. 2. You must perform within the agreed timescale, if no timescale perform within a reasonable amount of time.
What is the Best Practice to an Undertaking? (6)
Best practice is 1. It’s given by a solicitor, 2. in writing, 3. with a clear intention using the words ‘I undertake’, 4. given with the client’s express authority, 5. recorded on the client file, and 6. clear in its terms.
What is the Poor Practice in Undertakings?
- given by member of staff only, 2. given orally by phone, 3. given inadvertently
What is the consequence of a Breach of an Undertaking? (3)
- Solicitor is personally bound to comply with the undertaking given written or orally; 2. it can be enforce by the Court / the relying Party can seek compensation for losses incurred; 3. Any breach in professional standards may lead to sanctions against the solicitor.
