INTRODUCTION
OVERVIEW
Chapter 1. THE SEVEN ESSENTIAL PRINCIPLES
Chapter 2. ENSURING TRUST AND FAIR CONDUCT
NON-DISCRIMINATION
Accommodations for Disabled Clients or Employees
Avoidance of Abuse of Position
Honesty Toward All Parties
Fulfilling Undertakings
4.1 Definition of an Undertaking
4.2 Recommended Practices for Undertakings
4.3 Common Pitfalls in Undertakings
4.4 Undertakings Based on Future Events
4.5 Recording Undertakings
4.6 Implications of Failing to Honour an Undertaking
Chapter 3. DISPUTE RESOLUTION AND LEGAL PROCEEDINGS
Handling Evidence And Witness Testimony
1.1 Proper Treatment of Evidence
1.2 Guidelines for Witness Compensation
Courtroom Duties
2.1 Efficiency in Court
2.2 Adherence to Court Orders
2.3 Disclosure of Laws and Irregularities
Chapter 4. PROFESSIONAL SERVICE AND COMPETENCE
Client Instructions
1.1 Adhering to Instructions from an Authorised Representative
Delivering Competent and Timely Service
Personalised Service for Clients
Managing and Supervising Legal Services
4.1 Oversight and Supervision
4.2 Training and Professional Development
Chapter 5. HANDLING CLIENT FUNDS AND PROPERTY
Responsibility in Accounting for Financial Benefits
Protecting Client Assets
Management of Client Money
Chapter 6. BUSINESS PRACTICES AND ETHICS
Business Operations and Relationships
1.1 Disclosure of Interests to Clients
1.2 Documentation and Disclosure of Fee Sharing
1.3 Restrictions on Payments in Criminal Cases
Restrictions on Referral Fees
2.1 Definition of a Prohibited Referral Fee
2.2 Proof of Compliance
Dealings With Separate Businesses
Additional Requirements for Solicitors
4.1 Association with Authorised Entities
4.2 Requirement of Annual Return Submission
4.3 Securing Indemnity Insurance for Non-Commercial Legal Practice
Firm-Specific Obligations
5.1 Business Governance
5.2 Maintenance of Compliance Records
5.3 Ensuring Accountability
5.4 Risk Management
5.5 Management and Compliance Roles
Chapter 7. Conflicts, Confidentiality, and Disclosure
Addressing Conflicts of Interest
1.1 Understanding Conflict Types
1.2 Handling ‘Own Interest’ Conflicts
1.3 Conflicts Between Clients
Upholding the Duty of Confidentiality
2.1 Ensuring Confidentiality of Client Affairs
2.2 Scope of the Duty of Confidentiality
2.4 Differentiating Confidentiality from Legal Professional Privilege (LPP)
2.5 Implementing Systems for Confidentiality Protection
2.6 Implications of Breaching Confidentiality
2.7 Professional Embarrassment in Confidentiality Matters
Upholding the Duty of Disclosure
3.1 Circumstances Exempting Disclosure
Managing Confidentiality vs. Disclosure in Conflict Situations
Chapter 8. Co-operation and Accountability
Upholding the Duty to Co-operate
Interactions with the SRA
Requirement for Prompt Remedial Action
Obligation to Notify the SRA of Specific Events
4.1 Notification Requirements for Solicitors
4.2 Reporting and Notification Requirements for Firms
Duty to Report Actual and Potential Breaches
5.1 Understanding 'Serious Breach' in the SRA Context
Indirect Reporting to the SRA
Responsibility to Admit Mistakes to Clients