Ethics & Professional Conduct – Unit 1.
Ethics and Regulation
The SRA
- The SRA Principles
o Fundamental requirements of ethical behaviour
- Code of Conduct for Solicitors
o Standard of professionalism required from individuals
- Code of Conduct for Firms
o Standards and business controls expected of firms
- The SRA Accounts Rules
Complaints
- Clients must be informed in writing at time of engagement about:
o Right to complain about S’s services & charges
o How complaints may be made & to whom
o Any right they have to make a complaint to the LeO & when they can make a complaint
- Once a complaint has been made, if not resolved within 8 weeks the solicitor must ensure C is informed in
writing:
o Of any right to complain to the LO, the timeframe, full details on how to contact
o If a complaint has been brought & complaints procedure has been exhausted
That S cannot settle the complaint
The name & website address of an ADR approved body competent to deal w/ the complain
Whether the solicitor agrees to use the scheme operated by the body
The Legal Ombudsman
- 1st point of contact for a client (not SRA)
- Deals with complaints
o C need not suffer loss
o Must relate to services S offered, provided, refused to provide
- C cannot use LeO unless S’s complaints procedure has been used, unless:
o Complaint not resolved to C’s satisfaction within 8 weeks
o Exceptional reasons to consider the complaint sooner
o In-house resolution decided not possible due to irretrievable breakdown in relationship
- Complaint should be brought no later than:
o 6 years from act/omission
o 3 years from when C should reasonably have known there was cause
o (Discretion to extend by LeO
- May make solicitor apologise, pay, put right, limit fees etc.
o Limit of £50,000 on compensation
Breach of professional conduct
- Complaints concerning breach of professional conduct dealt with by the DRA
- Actions by the SRA include:
o No further action
o Impose a financial penalty/written rebuke (max. £2,000)
o Control how solicitor practices
o Refer to SDT
Solicitors Disciplinary Tribunal
- Hears & determines applications relating to allegations of unbefitting conduct / breaches of req. of
professional conduct
, - Most applications made on behalf of SRA (although any person may make an application directly)
SRA Compensation Fund
- Maintained by the SRA
- A discretionary fund of last resort to make grants to persons whose money has been stolen/unaccounted for
- Does not pay more than £2m per claim (unless exceptional circumstances
SRA Principles
1) Justice & the rule of law 5) Integrity
2) Public trust 6) Equality, diversity & inclusion
3) Independence 7) Best interests of the client
4) Honesty
These principles safeguard the wider public interest (rule of law, public confidence in the profession) which take
precedence over the interests of an individual client
Obtaining Instructions
Advertising
- Publicity in relation to the firm must be accurate & not misleading
- A solicitor cannot make unsolicited approaches to members of the public in order to advertise their legal
services
o Exception: Current / former clients
o Distinction between sending leaflets to all homes in a large geographical area & selectively
distributing leaflets to only specific homes based on wider information
Arrangements with third parties
- A client must be informed of any
o Financial/other interest
o Fee sharing-arrangements (must be in writing)
- Introducers
o A client referred by an introducer must not have been acquired in a way that would breach the SRA’s
regulatory arrangements
o
‘Referral fees’
- Prohibited following PI / death
Separate business
- A client must give informed consent if referred to by a solicitor
The Retainer
Accepting instructions
- Consider potential conflicts of interest
- Only act on instructions from the client (on behalf if properly authorised)
Ethics and Regulation
The SRA
- The SRA Principles
o Fundamental requirements of ethical behaviour
- Code of Conduct for Solicitors
o Standard of professionalism required from individuals
- Code of Conduct for Firms
o Standards and business controls expected of firms
- The SRA Accounts Rules
Complaints
- Clients must be informed in writing at time of engagement about:
o Right to complain about S’s services & charges
o How complaints may be made & to whom
o Any right they have to make a complaint to the LeO & when they can make a complaint
- Once a complaint has been made, if not resolved within 8 weeks the solicitor must ensure C is informed in
writing:
o Of any right to complain to the LO, the timeframe, full details on how to contact
o If a complaint has been brought & complaints procedure has been exhausted
That S cannot settle the complaint
The name & website address of an ADR approved body competent to deal w/ the complain
Whether the solicitor agrees to use the scheme operated by the body
The Legal Ombudsman
- 1st point of contact for a client (not SRA)
- Deals with complaints
o C need not suffer loss
o Must relate to services S offered, provided, refused to provide
- C cannot use LeO unless S’s complaints procedure has been used, unless:
o Complaint not resolved to C’s satisfaction within 8 weeks
o Exceptional reasons to consider the complaint sooner
o In-house resolution decided not possible due to irretrievable breakdown in relationship
- Complaint should be brought no later than:
o 6 years from act/omission
o 3 years from when C should reasonably have known there was cause
o (Discretion to extend by LeO
- May make solicitor apologise, pay, put right, limit fees etc.
o Limit of £50,000 on compensation
Breach of professional conduct
- Complaints concerning breach of professional conduct dealt with by the DRA
- Actions by the SRA include:
o No further action
o Impose a financial penalty/written rebuke (max. £2,000)
o Control how solicitor practices
o Refer to SDT
Solicitors Disciplinary Tribunal
- Hears & determines applications relating to allegations of unbefitting conduct / breaches of req. of
professional conduct
, - Most applications made on behalf of SRA (although any person may make an application directly)
SRA Compensation Fund
- Maintained by the SRA
- A discretionary fund of last resort to make grants to persons whose money has been stolen/unaccounted for
- Does not pay more than £2m per claim (unless exceptional circumstances
SRA Principles
1) Justice & the rule of law 5) Integrity
2) Public trust 6) Equality, diversity & inclusion
3) Independence 7) Best interests of the client
4) Honesty
These principles safeguard the wider public interest (rule of law, public confidence in the profession) which take
precedence over the interests of an individual client
Obtaining Instructions
Advertising
- Publicity in relation to the firm must be accurate & not misleading
- A solicitor cannot make unsolicited approaches to members of the public in order to advertise their legal
services
o Exception: Current / former clients
o Distinction between sending leaflets to all homes in a large geographical area & selectively
distributing leaflets to only specific homes based on wider information
Arrangements with third parties
- A client must be informed of any
o Financial/other interest
o Fee sharing-arrangements (must be in writing)
- Introducers
o A client referred by an introducer must not have been acquired in a way that would breach the SRA’s
regulatory arrangements
o
‘Referral fees’
- Prohibited following PI / death
Separate business
- A client must give informed consent if referred to by a solicitor
The Retainer
Accepting instructions
- Consider potential conflicts of interest
- Only act on instructions from the client (on behalf if properly authorised)
