Summary
Summary Legal ETHICS
Legal ETHICS study notes for the SQE 1 exams
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ETHICS & PROFESSIONAL CONDUCTAll firms authorised by the Solicitors Regulation Authority, the SRA, have to appoint two types of
compliance officers – there’s the compliance officer for legal practice (known for short as the
COLP) and the compliance officer for finance and administration (known for short as the COFA).
We have to be approved for our roles by the SRA and our responsibilities are primarily set out in
the SRA Code of Conduct for Firms.
7 SRA PRINCIPLES
ETHICS
- Law Society – The commitment to behaving ethically is at the heart of what it
means to be a solicitor
- Law Society (SRA) v Emeana and others (2013)-
o ‘I do not believe that the public would find it acceptable that those who
have behaved in this way should be allowed to act as solicitors.’ This
indicates that society expects something more from solicitors or that
solicitors are expected to adopt higher standards of ethical behaviour.
SRA
- The SRA Principles
o Set out fundamental requirements of ethical behaviour
- SRA Code of Conduct for Solicitors, RELs and RFLs
o Standards of professionalism
- SRA Code of Conduct for Firms
o Standards and business controls expected of firms
- SRA Account Rules
- SRA Glossary
o All defined terms
- 7 principles
-
COMPLAINTS
- Must have procedure for handling complaints
- Clients must be informed in writing at the time of engagement about:
o Their right to complain about the solicitors services and charges
o How complaints may be made and to whom and
o Any right they have to make a complaint to the legal ombudsman and
when they can make such complaint
- When a client has made a complaint, if this has not been resolved to the client’s
satisfaction within eight weeks following the making of a complaint, the solicitor
must ensure that the client is informed in writing:
, (a) of any right they have to complain to the Legal Ombudsman, the timeframe for
doing so and full details of how to contact the Legal Ombudsman; and
(b) if a complaint has been brought and the complaints procedure has been
exhausted:
(i) that the solicitor cannot settle the complaint;
(ii) the name and website address of an alternative dispute resolution (ADR)
approved body which would be competent to deal with the complaint; and
(iii) whether the solicitor agrees to use the scheme operated by that body.
The chartered Trading standards have approved a number of ADT entities that will
be able to provide ADR services
LEGAL OMBUDSMAN
- Deals with complaints made against solicitors, barristers, legal executives,
licensed conveyancers, notaries and patent attorneys
- The fact that the solicitor has provided services which are not of the quality
reasonably to be expected of a solicitor is enough
- The Scheme Rules provide that only certain types of client can complain to the LeO,
including individuals, ‘micro- enterprises’ (broadly speaking, an enterprise with
fewer than 10 staff and a turnover or balance sheet value not exceeding €2 million),
charities, clubs and associations with an annual income net of tax of less than £1
million, and personal representatives or beneficiaries of a person’s estate. The
complaint must relate to an act/ omission by the solicitor and must relate to the
services which the solicitor provided
- Ordinarily, the complainant cannot use the LeO unless the solicitor’s own complaints
procedure has been used, but can do so if:
(a) the complaint has not been resolved to the complainant’s satisfaction within eight
weeks of being made to the solicitor; or
(b) the LeO considers that there are exceptional reasons to consider the complaint
sooner, or without it having been made first to the solicitor; or
(c) the LeO considers that in- house resolution is not possible due to irretrievable
breakdown in the relationship between the solicitor and the complainant.
The complaint should be brought no later than:
• six years from the act/ omission; or
• three years from when the complainant should reasonably have known there was
cause for complaint.
- The LeO’s determination may direct the solicitor (or their firm) to:
(a) apologise;
(b) pay compensation (together with interest) for any loss suffered and/ or
inconvenience/ distress caused;
(c) ensure (and pay for) the putting right of any error or omission;
, (d) take (and pay for) any specified action in the interests of the complainant;
(e) pay a specified amount for the costs of the complainant in pursuing the
complaint;
(f) limit the solicitor’s fees (including requiring that all or part of any amount paid is
refunded, with or without interest, or that all or part of the fees are remitted).
The determination may contain one or more of the above directions. There is a limit
of £50,000 on the total value that may be awarded in respect of compensation
BREACH OF PROFESSIONAL CONDUCT
- Professional Misconduct
o Concerns breaches of the SRAs Principles
- SRA makes a decision by applying its three step assessment threshold test:
o (1) has there been a potential breach of the SRA standards and
regulations based on the allegations made?
o (2) is that potential breach sufficiently serious that if proved is capable
of regulatory action
o (3) is the breach capable of proof?
- SRA will provide notice to the individual or firm setting out the allegation and
facts
- SRA has power under s44B Solicitors Act 1974 – to serve notice on a solicitor
requiring the delivery of a file or documents in possession of the solicitor
- Para 7.4 imposes an obligation to respond promptly
SOLICITORS DISCIPLINARY TRIBUNAL
- Hears and determines applications relating to allegations of unbefitting
conduct and or breaches of the requirements of professional conduct by a
number of legal service providers
- Procedure
o SRA maintains a panel of solicitors in private practice who prosecute
applications before the SDT on its behalf
o SDT does not have powers of investigation nor will it collect evidence
itself
o Application must be in the prescribed form, supported by evidence.
- Evidence is given on oath and witnesses may be called
- Decisions of the SDT are called Judgements and Orders
o Order takes effect once it is filed at the Law Society
o Judgement is made available to the parties after the hearing.
- S47 Solicitors Act 1974 gives the SDT power to make such order as in its
discretion it thinks fit including:
o (a) striking a solicitor off the roll
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