Ethics, Professionalism and Conduct

ELS and Legal Skills

 A new path into the legal profession
In April 2017, the SRA Board agreed to introduce the
Solicitors Qualifying Examination and the new approach to
qualification. New regulations will come into effect from
September 2021 (current plans), and anyone wishing to
qualify as a solicitor will need to:

•
Have a degree or equivalent
•
Have completed a minimum period of qualifying legal
work experience
•
Have passed the solicitors qualifying examination (SQE)
•
 Statement of Solicitor Competence (SoSC)
The new SQE is designed to test the competences of
candidates in two stages.

Stage 1 will test;

•
Principles of Professional Conduct, Public and Administrative law, and the
Legal Systems of England and Wales
•
Dispute Resolution in Contract or Tort
•
Property Law and Practice
•
Commercial and Corporate Law and Practice
•
Wills and the Administration of Estates and Trusts
•
Criminal Law and Practice.
•
Legal Research and Writing.
 Statement of Solicitor Competence (SoSC)
The new SQE is designed to test the competences of
candidates in two stages.

Stage 1 will test;

•
Principles of Professional Conduct, Public and Administrative law, and the
Legal Systems of England and Wales
•
Dispute Resolution in Contract or Tort
•
Property Law and Practice
•
Commercial and Corporate Law and Practice
•
Wills and the Administration of Estates and Trusts
•
Criminal Law and Practice.
•
Legal Research and Writing.
 Statement of Solicitor Competence

Stage 2 will include;

•
Client interviewing
•
Advocacy
•
Case and matter analysis
•
Legal research and written advice
•
Legal drafting
 Who are the SRA?
Solicitors Regulation Authority

•
Regulate the legal profession

•
Set the Principles and Code of Conduct

•
Set qualification standard

•
Provide ethical guidance

•
Investigating complaints against solicitors
 Who are the SRA?

•
Established in 2007

•
2011 SRA Code of Conduct

•
Do not regulate other legal professional
– BSB, Cilex etc.
 The SRA Handbook

•
10 Mandatory Principles

•
SRA Code of Conduct 2011

•
SRA Accounts Rules
 The Principles

These define the fundamental ethical and professional

standards that are expected of all firms and individuals
(including owners who may not be lawyers) when providing
legal services. Ακομα και εταιρειες πρεπει να τις ακολουθει.
Κανενας δεν μπορει να δινει νομικες συμβουλες και ειναι
πινηκο αδικημα που δεν γινεται να μεταθετει η να ακυρωθει
με κανεναν τροπο και για να δωθει πρεπει να υπαρχει χαρτι
που να λεει οτι εισαι σολισιτορ
 The Principles

1. Uphold the rule of law and the

proper administration of justice;
•.
You have obligations not only to clients
but also the courts and third parties
– Not misleading the court
– Not take unfair advantage of third parties
 The Principles
•
Uphold the rule of law and proper administration of
justice

•
Examples;
– If your client asks you to lie
•
To the court
•
To another individual
– Not providing all court documentation
•
The overriding duty is to the court
 The Principles

2. Act with integrity;

•.
Personal integrity is central to your role
as the client’s trusted advisor
– Should impact all professional dealings
– Being honest
– Having a good moral compass
 The Principles
•
Act with integrity

•
Examples;
– Not putting your own or client’s needs above their wider
professional obligations to the:
•
administration of justice
•
rule of law
•
courts.
– Being prepared to decline instruction if it conflicts with your
ethical obligations
 The Principles

3. Not allow your independence

to be compromised;
•.
Your own independence
•.
Your firms independence

•.
Avoid situations which might put
independence at risk
 The Principles

•
Not allow your independence to be compromised

•
Example;
– Not entering into improper business arrangements
– Not allowing yourself to be put in a vulnerable position
 The Principles

4. Act in the best interests of each client;

•.
Act in good faith and do your best for your clients

•.
Most importantly
– Duty of confidentiality
– Conflicts of interest
 The Principles

•
Act in the best interests of each client

•
Example;
– Ensuring you do not leak client information
– Ensuing you are well prepared
– Ensuring you do your job to the best of your ability
 The Principles

5. Provide a proper standard of service to your clients;

•.
Exercising;
– Competence
– Skill
– Diligence
– Accounting for individual needs of clients
– Meeting the competencies
 The Principles

•
Provide a proper standard of service to your clients

•
Example;
– Ensuring you deal with client matters in a timely manner
– Ensuring you keep clients up to date with progress of their case
– Ensuring you have all relevant information from clients
 The Principles
6. Behave in a way that maintains the trust the
public places in you and in the provision of
legal services;
•.
Members of the public should be able to pace
their trust in you

•.
Behaviour which damages your reputation also
 The Principles
•
Behave in a way that maintains the trust the pubic
places in you and the provision of legal services

•
Example;
– Act professionally in both your professional and persona life
– Not conduct illegal activity
 The Principles
7. Comply with your legal and regulatory obligations
and deal with your regulators and ombudsmen in an
open, timely and co-operative manner;

•.
Comply with all reporting and notification requirements
– Promptly
– Substantively
 The Principles

•
Comply with your legal and regulatory obligations
and deal with your regulators and ombudsmen in an
open, timely and co-operative manner;

•
Example;
– Provide SRA/Ombudsman with all relevant documentation
 The Principles
8. Run your business or carry out your role in the
business effectively and in accordance with proper
governance and sound financial and risk
management principles;

•.
Ensuring the firm is well run for clients

•.
Managers and employee’s duty
 The Principles

•
Run your business or carry out your role in the
business effectively and in accordance with proper
governance and sound financial and risk
management principles;

•
Example;
– Do not make poor financial risks
– Gain appropriate financial advice
 The Principles
9. Run your business or carry out
your role in the business in a way
that encourages equality of
opportunity and respect for
diversity;
•.
Providing equal opportunities and
preventing discrimination of clients
– Age, gender, disability, gender
reassignment, marriage and civil
partnership, pregnancy and maternity,
race, religion or belief, sex and sexual
 The Principles
•
Run your business or carry out your role in the
business in a way that encourages equality of
opportunity and respect for diversity;

•
Example;
– Do not use discriminatory language
– Provide the same standard of service to all clients
– Ensure that recruitment of employees is non-discriminatory
 The Principles
10. Protect client money and assets.

•.
Connection with acting in the best
interest of the client

•.
Protect all property which belongs to
your client
 The Principles

•
Protect client money and assets

•
Example;
– Do not use client assets in an unauthorised way
– Ensure that there is no unauthorised access to client’s assets
 The Principles

Where two or more of the principles conflict

•
Precedent is given to the one which best the public
interest

•
Upholds public interest in the proper administration of
justice
 The Code of Conduct 2011
The SRA Code of Conduct 2011 is split into 5 sections;

1. You and your client

2. You and your business
3. You and the regulator
4. You and others
5. Application, waiver and interpretation
 The Code of Conduct 2011
Each section is split into;
•
Mandatory provisions – Must be complied with
– Outcomes
– Applications and waivers
– Interpretations
– Transitional provisions

•
Non-mandatory provisions – Do not have to be complied
with
– Indicative behaviours
– Notes
 Next week

CODE OF CONDUCT

YOU AND YOUR CLIENT