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Summary ULAW LPC, Dispute Resolution Chapter Readings
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ULAW LPC, Dispute Resolution Chapter Readings
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DR – WS1 Pre Action Steps TIFF LIAOChapter 2 Consideration incl Funding the Claim Page 15
2.2 PURPOSE OF THE FIRST INTERVIEW
- Need to extract relevant info from the client to give preliminary advice on such issues as liability and quantum
- A solicitor will need to:
Identify the clients objectives in relation to the work to be done for the client – retainer = scope of the work to be done for
the client whereby client instructs the solicitor on a particular matter
Give the client a clear explanation of the issues involved and the options available to the client
Agree with the client the next steps to be taken; and thereafter
Keep the client informed of progress
2.3 PROFESSIONAL CONDUCT
- PARA 6.3 of the Solicitors Regulation Authority (SRA) Code of Conduct for Solicitors , a solicitor is
under a duty to maintain the confidentiality of their client’s affairs UNLESS the client’s prior authority
is obtained to disclose particular information, or exceptionally the solicitor is required or permitted by
law to do so.
DUTY OF
CONFIDENTIALITY - It is important to note that the duty of confidentiality continues after the end of the retainer.
- If a solicitor holds confidential information in relation to a client or former client (A), they should not
(unless appropriate safeguards can be put in place) risk breaching confidentiality by acting, or
continuing to act, for another client (B) on a matter where that information might reasonably be
expected to be material and client B has an interest adverse to client A.
- Ideally, therefore, before the first interview you should check that you do not have confidential
information in respect of client A which you would be under a duty to disclose to the proposed new
client B.
- By PARA 6.2 of the SRA Code of Conduct, a solicitor generally should NOT ACT for two or more
clients where this would cause a conflict of interests.
CONFLICT OF INTEREST - A conflict of interests exists if the solicitor owes separate duties to act in the best interests of two or
more clients in relation to the same or related matters, and those duties conflict or there is a
significant risk that those duties may conflict.
- Solicitors are subject to the money laundering legislation, and it is extremely important to ensure that
MONEY LAUNDERING adequate procedures are in place to check a new client’s identity
- A solicitor warrants their authority to take any positive step in court proceedings,
eg to issue a claim form or serve a defence on behalf of the client
WHO IS MY CLIENT must be able to answer the Q posed above
AND AM I AUTHORISED
TO ACT? - If a solicitor receives instructions from someone other than the client, or by only one client on behalf
of others in a joint matter
the solicitor should not proceed without checking that all clients agree with the instructions given.
- As well as owing duties to the client, the solicitor also has an overriding duty not to mislead the court
(see PARA 1.4 of the SRA Code of Conduct).
SOLICITORS DUTY AS - The duty to the court means that the solicitor must disclose all relevant legal authorities to the court,
OFFICER OF THE COURT such as statutory provisions or case law, even if these are not favourable to their case (see para 2.7).
- As an advocate, solicitor is also under a duty to help the court achieve the overriding objective of
dealing with the case justly and at proportionate cost
1
TIFF LIAO
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