Ethics and Professional Conduct. Contents

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

Chapter 9. Standards for Providing Services to the Public

Clarity in Client Representation

Communication about Regulation and Protection

Ensuring Client Awareness and Understanding

3.1 Clear Communication About Legal Services

3.2 Transparency in Pricing and Costs

Effective Management of Client Complaints

4.1 Communicating Complaint Procedures to Clients

4.2 Post-Complaint Follow-Up

4.3 Principles for Handling Complaints

Guidelines for Publicity and Advertising

5.1 Accuracy in Publicity

5.2 Restrictions on Unsolicited Approaches

Adherence to SRA Transparency Rules

REFERENCES

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