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PCR Consolidation NotesSTRUCTURE TO ANSWER:
1. Issue (i.e. conflict, etc..)
2. Code reference principle / CC para
3. Set out provisions and apply them to the facts
4. Conclude
PRINCIPLES
The starting point for consideration of the SRA Code of Conduct the 7 principles.
Fundamental requirements which all individuals and firms regulated by the SRA must satisfy in practice.
They define the fundamental ethical and professional standards that we expect of all firms and
individuals (including owners who may not be lawyers) when providing legal services.
o Always have regard to the principles
o When faced with an ethical dilemma they are starting point
Conflict of Principles one which best serves the public interest takes precedence in the particular
circumstances…
Act in a way which upholds:
1. Justice and the rule of law
Uphold constitutional rule of law + proper administration of justice
SRA CC 1.4 must never not mislead the courts
2. Public trust in the profession
i.e. uphold the reputation of the legal profession pervasive (i.e. a criminal offence might breach this)
3. Independence
Must not allow their independence to be compromised (including the firm)
(i.e. if circumstances arise which pose a personal (sol) conflict with something – should avoid it)
4. Honesty
5. Integrity
Must act with integrity in all professional dealings with clients, the court, other lawyers and the public
because they are in a position of trust
6. D&I + equality
7. Best interests of the client
This connects to the solicitor’s duty of confidentiality to his clients + obligations when it comes to
conflicts of interest
1
, PCR Consolidation Notes
DEALING WITH CONFIDENTIALITY + DISCLOSURE
SRA CC 6.3 Obligation to keep affairs of clients confidential UNLESS disclosure required/permitted by law /
client gives informed consent
Continuing Obligation Must keep affairs of current and former clients confidential (i.e. continues even
after retainer expires)
Extends beyond obviously confidential matters includes all information about a client or matter regardless of
the source of information
SRA CC 6.5 In the case of Adverse interests Firm/solicitors should have effective measures in place to
ensure no real risk of disclosure
Circumstances where confidential information may be disclosed:
Statutory requirement – i.e. by HMRC
Statutory duty (i.e. under Proceeds of Crime Act 2002 / Laundering, Terrorist Financing Regultions)
Court order or Police warrant to seize confidential information
SRA ethics guidance:
o Client indicated intention to commit suicide or serious self-harm should seek consent from
the client first if declined, can disclose to protect the client
o Preventing harm to children / vulnerable adults i.e. cases of sexual abuse – doesn’t need to
disclose BUT for threat to life/health which is sufficiently serious to justify disclosure
o Preventing commission of criminal offence duty of confidentiality doesn’t arise where the
client is using solicitor to figure out how to perpetrate a crime (i.e. avoid being caught)
breach can be mitigated if on reasonable grounds sol believes offence likely to result in i.e.GBH
DUTY OF DISCLOSURE:
SRA CC 6.4 when acting for a client on a matter, have to make the client aware of all information material to
their matter which you have knowledge on –– EXCEPT:
prohibited by legal restrictions in the interest of national security / prevention of crime
informed consent (in writing) – i.e. in the case of potential conflict (see 6.5)
reason to believe serious mental/physical injury will be caused to your client if information is disclosed
information from privileged document mistakenly disclosed
RISK ON CONFIDENTIAL INFO (adverse interests)
Principle 7 Solicitor should act in the best interest of the client
SRA CC 6.5 Do not act for client where that client has an interest adverse to that of another current or
former client for whom you or your business/employer hold confidential information
Exceptions:
a) effective measures taken which result in no real risk of disclosure of confidential info
b) current / former client gives informed consent evidenced in writing to:
you acting -
including any measures taken to protect their information
“Interest adverse”:
Where client for whom you hold confidential info becomes opposing party to another of your clients
Can be interpreted in wide sense i.e. one client may want to receive info of x client to benefit
themselves
“Effective measures”: depend on the firm (small firms = more difficult)
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