Legal and Ethical Issues in Solicitor's Code of Conduct
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Added on 2022/12/23
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This essay discusses the legal and ethical issues in the Solicitor's Code of Conduct and provides advice to a firm and its solicitors. It covers topics such as professional conduct, conflict of interest, and breach of code.
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Running head: RESIT COURSEWORK ASSESSMENT RESIT COURSEWORK ASSESSMENT Name of Student Name of University Author Note
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1RESIT COURSEWORK ASSESSMENT Introduction A code of professional conducts can be described as to be outlining each ethical principle that would be governing the decisions and behaviors of the professionals in any company or organization. The codes are seen as to be providing for the guidelines that the professionals are needed to be following with relation to their behavior, handling of clients and their data, managing any conflict in interest. In the United Kingdom the solicitors are seen as regulated by theSolicitors’ Code of Conduct1introduced under the provisions of theSolicitors Regulation Authority.The firms in the United Kingdom providing legal services are guided by the provisions of theSRA Code of Conducts for Firms2.In this essay advice has been provided to a firm and its solicitors for the possible legal and ethical issues in concern with an issue with an employee named Mike. Code of Conduct TheSRA Code of Conduct for Firmscan be seen as to be describing the standards and controls in business that are being expected from the firms that have been authorized by the Solicitors Regulation Authority for providing legal services. For any failure in meeting the standards of the SRA or any breach of the code by the employees, the firm would be held responsible and the SRA would be seen as taking regulatory actions against the firm as an entity or against the managers or compliance officers who are responsible to ensure that the standards have been met. Paragraph 8.1 of the code provides for the joint and several responsibility of all 1Solicitors’ Code of Conduct 2SRA Code of Conducts for Firms
2RESIT COURSEWORK ASSESSMENT the managers or any other governing body for making the firm being in compliance with the provisions of the code. TheSRA Code of Conduct for Solicitors, RELs and RFLsare seen as describing the professionalism standards that are being expected from the solicitors, registered European lawyers and registered foreign lawyers providing legal services who have been authorized by the SRA. The SRA code of conduct can be seen as applying to the conducts and behavior of any legal professional and further comprises of a framework for practicing in an ethical and competent way. The code provides for the standard for the legal professionals to be acting fairly bymaintainingtrust,beingcompetentwiththeservicesprovided,conflictofinterests, confidentiality and disclosure, being cooperative and accountable, publicity. In the current scenario it was seen that Mike had been having stress about his home pressure which is affecting his work. He was seen as discussing about his problem to his senior partner but he had been turning a deaf ear to Mike’s problems and had been piling up works for Mike. Because of both personal and work problems Mike is seen as doing mistakes in his job and often is not careful with the information and files of the clients he even forgot to renew his practicing certificate. Another issue in the current scenario is that Mike’s brother, who had been arrested for fighting after being intoxicated, had asked Mike to be defending him in the capacity of Mike as a criminal lawyer and give a false statement to the police about the crime committed by Jack, which Mike was seen as following by giving a false statement to the police as was asked from him. The next day Mike had missed appointments with two new clients as he reached to work very late. When he reached work he found out that the fight for which his brother Jack was arrested for had been posted on Facebook and there have been rude comments about the firm written beside the picture of Mike.
3RESIT COURSEWORK ASSESSMENT The senior partner of the firm, Mark can be considered as one of the members of the governing body and would be liable for the compliance of the firm with the codes of conduct mentioned under the paragraph 8.1. Paragraph 1.1 of the Solicitors Code of Conduct mentions that a solicitor is needed to be acting in a fair way and not allowing their personal views to be affecting the professional relationships and the way in which the solicitor provides his service. Paragraph 1.2 states the responsibility of the solicitor to be performing all his duties within the timescale that has been agreed or any reasonable amount of time. As per paragraph 1.4 a solicitor should not be misleading or attempt to be misleading the clients, courts and others by his own acts or omissions or by allowing the acts or omissions of others. A solicitor is required to be ensuring that the service provided by him is carried out in a competent and timely manner. As per 6.1 of the code a solicitor is seen as being prohibited to be acting in any conflict of interest. Paragraph 7.1 requires a solicitor to be keeping up to date with and follow all the laws and regulations that are seen as governing the work. Mike as a solicitor who is regulated by the Solicitors Regulation Authority is bound as to be following the guidelines provided by the SRA. As per Paragraph 1.1 of the Solicitors Code of Conduct he is needed to be acting in a fair way and not allowing his personal views to be affecting the professional relationships and the way in which he provides his service. He is seen to be in breach of this provision as he continues to do mistakes in his work and is often seen as not handling the information and files of the clients with a care that is required. Paragraph 1.2 states the responsibility of Mike to be performing all his duties within the timescale that has been agreed or any reasonable amount of time. This provision has also been breached by him as he himself had noticed that he slips things. As per paragraph 1.4 Mike is prohibited to be misleading
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4RESIT COURSEWORK ASSESSMENT or attempt to be misleading the clients, courts and others by his own acts or omissions or by allowing the acts or omissions of others. By providing the police with a false statement by agreeing to his brother he has also breached this provision. As per 6.1 of the code Mike has been prohibited to be acting in any conflict of interest. He is seen as having a hard time coping with his personal problems and the work pressure which is taking a toll on him and his work is disrupted, hence he is in conflict of interest between his work and his personal problems in breach of the provision of the paragraph. Although Paragraph 7.1 requires Mike to be keeping up to date with and follow all the laws and regulations that are seen as governing his work, however the because of his personal problems in relation to the aggressive nature of his brother and the work pressure given by his boss to him he is even seen to be forgetting to renew his practicing certificate in the current year. For the breach of the provisions of the codes of conduct by the solicitors the SRA has provided with set of rules providing the circumstances in which they can be exercising their powers and governing the timeline when they could be publishing their decisions. These rules have been mentioned under theSRA Disciplinary Procedure Rules20103. In the rule 3 the circumstances for the written rebukal or direction for penalty to the individuals and firms regulated under the SRA has been mentioned. The penalty could be upto £2,000. For any minor misconduct the SRA could be sending the individuals a Letter of Advice. Conclusion In this essay advice has been provided to a firm and its solicitors for the possible legal and ethical issues in concern with an issue with the solicitor Mike. In the United Kingdom the 3SRA Disciplinary Procedure Rules2010
5RESIT COURSEWORK ASSESSMENT solicitors are seen as regulated by theSolicitors’ Code of Conductintroduced under the provisions of theSolicitors Regulation Authority.The firms in the United Kingdom providing legal services are guided by the provisions of theSRA Code of Conducts for Firms.Thus Mike can be seen in breach of many of the conducts present in the code. He would be held liable under theSRA Disciplinary Procedure Rules2010 with a penalty or rebukal depending on the seriousness of the breach.
6RESIT COURSEWORK ASSESSMENT Reference Solicitors’ Code of Conduct SRA Code of Conducts for Firms SRA Disciplinary Procedure Rules 2010