Professional Conduct at Anglia Ruskin University | Flashcards & Summaries

Lernmaterialien für Professional Conduct an der Anglia Ruskin University

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Professional Conduct 

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Professional conduct’ is the term that is often used to describe the rules and regulations with which a solicitor must comply.

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Authorised disclosure - Regulated sector 

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Firms will be within the ‘regulated sector’ if they undertake relevant business (see the Proceeds of Crime Act 2002, Sch 9).

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The Legal Services Board

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It supervises the ‘approved regulators’ of the legal profession.

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SRA Principles

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There are seven Principles that are mandatory and apply to all those regulated by the SRA and to all aspects of practice.

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Overseas and cross-border practice

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The SRA Overseas and Cross-border Practice Rules, Part A (Overseas Rules) apply to regulated individuals who are practising overseas (outside England and Wales) and to authorised bodies with an overseas practice as defined in the SRA Glossary.

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The Pervasive Nature of Conduct

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It pervades all aspects of a solicitor’s life and work, regardless of the area of work in which the solicitor chooses to practise.

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When a client has made a complaint

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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) If 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 (see 7.5); 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 you agree to use the scheme operated by that body. (Code of Conduct for Solicitors, para 8.4). 

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Complaints against Solicitors, Authorised Bodies and Those who work for them

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A solicitor must ensure that clients are informed in writing at the time of engagement about: 

 

(a) their right to complain about the solicitor’s services and charges; 

(b) how complaints may be made and to whom; and 

(c) any right they have to make a complaint to the Legal Ombudsman and when they can make such complaint (Code of Conduct for Solicitors, para 8.3).

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Professional misconduct

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‘Professional misconduct’ primarily concerns breaches of the SRA’s Codes of Conduct.

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The Solicitors Regulation Authority

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The role of the SRA is to protect the public. Accordingly, having received an allegation that a solicitor or authorised body has committed professional misconduct or committed, or is responsible for, a serious breach of any of the SRA’s regulatory an investigation and inform the individual or firm about whom the allegation has been made and obligations, the SRA will carry out their employer.

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Outcomes – professional misconduct

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The SRA may do the following: 

(a) Take no further action with or without issuing advice or a warning about future conduct 

(b)Impose a financial penalty or written rebuke 

(c)Control how the firm/regulated person practises 

(d)Refer the matter to the Solicitors Disciplinary Tribunal 

(e)Disqualify an individual from acting as a HOLP, HOFA, manager or employee of a licenced body 

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Distinction between complaints about professional services and negligence

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A solicitor owes a duty of care to his client in the law of tort. Where the solicitor breaches this duty and the client suffers loss as a result, the solicitor may be sued by the client for negligence.

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Q:

Professional Conduct 

A:

Professional conduct’ is the term that is often used to describe the rules and regulations with which a solicitor must comply.

Q:

Authorised disclosure - Regulated sector 

A:

Firms will be within the ‘regulated sector’ if they undertake relevant business (see the Proceeds of Crime Act 2002, Sch 9).

Q:

The Legal Services Board

A:

It supervises the ‘approved regulators’ of the legal profession.

Q:

SRA Principles

A:

There are seven Principles that are mandatory and apply to all those regulated by the SRA and to all aspects of practice.

Q:

Overseas and cross-border practice

A:

The SRA Overseas and Cross-border Practice Rules, Part A (Overseas Rules) apply to regulated individuals who are practising overseas (outside England and Wales) and to authorised bodies with an overseas practice as defined in the SRA Glossary.

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Q:

The Pervasive Nature of Conduct

A:

It pervades all aspects of a solicitor’s life and work, regardless of the area of work in which the solicitor chooses to practise.

Q:

When a client has made a complaint

A:

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) If 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 (see 7.5); 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 you agree to use the scheme operated by that body. (Code of Conduct for Solicitors, para 8.4). 

Q:

Complaints against Solicitors, Authorised Bodies and Those who work for them

A:

A solicitor must ensure that clients are informed in writing at the time of engagement about: 

 

(a) their right to complain about the solicitor’s services and charges; 

(b) how complaints may be made and to whom; and 

(c) any right they have to make a complaint to the Legal Ombudsman and when they can make such complaint (Code of Conduct for Solicitors, para 8.3).

Q:

Professional misconduct

A:

‘Professional misconduct’ primarily concerns breaches of the SRA’s Codes of Conduct.

Q:

The Solicitors Regulation Authority

A:

The role of the SRA is to protect the public. Accordingly, having received an allegation that a solicitor or authorised body has committed professional misconduct or committed, or is responsible for, a serious breach of any of the SRA’s regulatory an investigation and inform the individual or firm about whom the allegation has been made and obligations, the SRA will carry out their employer.

Q:

Outcomes – professional misconduct

A:

The SRA may do the following: 

(a) Take no further action with or without issuing advice or a warning about future conduct 

(b)Impose a financial penalty or written rebuke 

(c)Control how the firm/regulated person practises 

(d)Refer the matter to the Solicitors Disciplinary Tribunal 

(e)Disqualify an individual from acting as a HOLP, HOFA, manager or employee of a licenced body 

Q:

Distinction between complaints about professional services and negligence

A:

A solicitor owes a duty of care to his client in the law of tort. Where the solicitor breaches this duty and the client suffers loss as a result, the solicitor may be sued by the client for negligence.

Professional Conduct

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