SRA Code of Conduct 2019 and Ethical Dilemmas Faced by Corporate Solicitors

This essay discusses the SRA Code of Conduct 2019 and the ethical dilemmas faced by corporate solicitors. It explains the minimum criteria of professionalism expected from any solicitor and the duties of solicitors towards their clients and the general public. The essay concludes that professional ethics are essential in all professions, including the legal profession.

SOLICITOR
CORPORATE
PRACTICE

Table of Contents
INTRODUCTION...........................................................................................................................2
MAIN BODY...................................................................................................................................2
CONCLUSION................................................................................................................................6
REFERENCES................................................................................................................................7

INTRODUCTION
Corporate practices are broadly referred to as the presentation of various companies with
respect to the corporate compliance, governance, mergers and acquisitions. However, there are
various number of corporate solicitors who prefers only to represents either private companies or
public companies. It is very much required for every solicitor to act in an ethical way as it helps
in responding to moral dilemmas which he tends to face at his work. Further, Solicitor
Regulation Authority, which is SRA provides certain regulation and standards which are applied
to all sort of solicitors irrespective of his area of practice1. This essay is going to cover the brief
explanation of SRA code of conduct 2019 mainly with respect to corporate solicitors.
MAIN BODY
Explain and discuss in relation to the SRA Code of Conduct for Solicitors 2019 and the
ethical dilemmas faced by corporate solicitors. In particular consider to what degree do
solicitors owe a duty to the public generally.
The regulations and standards by Solicitors regulation authority(SRA) while replacing the
older references came into existence on 25th November of 2019. the new changes were made to
grant some flexibility to corporate solicitors. The major changes were made with respect to the
introduction of two altogether new codes of conduct, one being each for firms and individual
solicitors. Also major changes were made to both disciplinary rules and accounts rule while
shortening them. The earlier set of principles which was applicable to both the individuals and
firms was now has been reduced to seven from earlier being ten in number2. The four principles
which have been removed are of continuance of business in compliance with governance,
responsibility of protection towards money of client, complete standard of services to be
provided to client, etc. while seeing in real sense the earlier stated principles have not been
1 Corporate Governance Report: Corporate Governance In Large British And German Companies:
Comparative Institutional Advantage Or Competing For Best Practice?' (2018) 7 Corporate Governance
2 Corporate Style For General Practice Staff' (2020) 30 Practice Management

completely distanced instead they have been incorporated in the newly introduced code of
conduct.
The newly introduced code of Solicitor Regulation Authority, for corporate solicitors,
sets out some minimum criteria of professionalism which is expected from any solicitor, who has
been authorized to provide certain legal services to public in England. The code has now
modified the use of title for the corporate solicitors where they are no longer restricted to work
only on the basis in collaboration with law firms and enterprises and also are free to render the
services which are not reserved to an extent, to various people. The broad areas based on which
some standards have been set for conduct of solicitors are, First being, to act in fair manner and
to maintain trust where, it is required by every solicitor to not to enjoy unfair benefits of
customers and also make abuse of his position. He is bound to act fairly to act in fair manner and
not to discriminate among his clients. Also he should not misguide his clients as well as courts
or even attempt to do so by his acts3. Second being, the ethics related to proceedings before
courts. Here solicitor should not or even attempt to mislead or abuse the evidences which are of
the some importance to court. Also he is required to not influence the relevant witnesses or bring
forth false evidences in order to benefit his own client company . Every corporate solicitor have
some duties towards court to which he is bound to comply and not to indulge in any sort of
contempt of court. The unusual waste of time of court is also said to be an unethical on part of
solicitor. Here while seeing all the said ethical duties as given in SRA, it draws an attention
toward the fact that there comes many circumstances for every solicitor while exercising his
legal duties where he needs to choose between what to do and what not to do. Many
circumstances comes where the principles which are ethically right makes conflict with the act or
steps taken by the solicitor while working in the interests of his clients. Lets understand it with
an instance, that a lawyer can face a dilemma while making false evidences or by influencing the
witnesses of the case in favour of his client company which is if we see ethically is completely
wrong on his part. But at the same time he also have the duty to protect his client at any cost so
here stands the situation where he has to do only one thing which can be either right one or
wrong4.
3 MCHARDY D, 'The Role Of The Solicitor' (2017) 5 Children & Society
4 'Ethical Standards For Psychology: Section 2--Ethical Standards In Professional Relationships; Section 4--
Ethical Standards In Research; Section 5--Ethical Standards In Writing And Publishing.' (2020) 6 American
Psychologist

Other ethical duty which every corporate solicitor is bound to perform is of proper
service and competence, where one needs to act only on the instructions of the said corporation
or someone who is authorized on his behalf to act in such a capacity. If there exists such
circumstances where the desires of the client do not match with the acts to be done by his
solicitor then in such case he should not act in that way. Also he has a duty to make sure that the
duties provided are of competent nature and has been delivered on time. One must keep his skills
and knowledge updated to the new provisions and rules. Every solicitor also have obligations
towards the assets and money of his respective clients5. He should not enjoy any financial
benefits other than his given services and if it is a case then in such case he is accountable to give
the clarification for the same. Also he should take measures to safeguard the assets and money or
any other valuable things which has been entrusted to the solicitor. One should not in person
hold any such things or money of clients except as given in the regulations.
Moreover, there stands no differences between the general solicitor and corporate
solicitor therefore the said duties of both are somewhat similar to each other based in correlation
to the principles of ethics. The some of the primary responsibilities of corporate solicitor
includes is to assure the legality of commercial transaction of the said companies and enterprises
to which he is appointed as the solicitor. The primary duties as a corporate solicitor includes,
advising companies on their respective legal rights, ensuring the validity of transactions and
agreements related to company, etc. further the knowledge of contracts law, intellectual property
law, and company law is very much required for every person in order to be authorized as a
company lawyer. Further the SRA code of conduct does not really provides the bifurcated duties
of both general and corporate solicitor. But solicitors do have an obligation of fulfilment of some
duties towards hi clients as well as society that is general public. Moreover the said standards
with which one needs to oblige can be bifurcated into two parts that is standards with respect to
conduct, which is the manner in which any solicitor acts and standards of service, which is the
minimum amount of quality which any client expects from his respective solicitor.
Further in detail the standards with respect to conduct includes, Confidentiality- here the
solicitor stand bound to keep the personal information as well as the details related to the his
5 Walker P, 'Cracking The Code: The Genesis, Use And Future Of The Code Of Conduct' (2021) 29
Disasters

affairs of business as confidential. But the circumstances where clients reveals his plan of
commitment of certain offence does not fetch such obligation on part of solicitor. The other
aspect is of, Integrity and trust- every solicitor is bound to act in such manner which involves
some basic integrity which is required to carry out any profession. Such duty does not only
applies to his respective clients but also to all the people with whom he deals on day to day life6.
Professional fees- he must in all circumstances must charge the reasonable and fair amount of
charges with respect to the services he has been delivered in discharge of his authority. Clients
Interest- every solicitor while balancing his duties which he owns towards other people must act
in a way which fulfils the interest of his client. Further there stands various circumstances where
solicitors have to face a dilemma in case a conflict arises between the interest of client and other
duties which he is bound to follow. In such situations he must put the wish of his client on a
priority even before the interest of the company. moreover talking about the standards regarding
the services, first can be competence. Here corporate solicitor must ensure that his knowledge
has been updated with the current running regulations and also he must know the proper
application of such laws to the affairs of the company which are in conflict7.
Further, other than his own client the corporate solicitors also have some obligation towards the
general pubic which is in simple sense the society. Also every solicitor other than being the
representative of his client also acts in the capacity of public servant who needs also needs to
work towards the betterment of society and the standards of justice. There stands various
obligations which a solicitor needs to fulfil towards the general public, some of them are as
follows. First being with respect to safety, solicitors play a very important role in nurturing the
social harmony among the general public. Also the people feel more secured with a though that
solicitors stands there to give a sense of security, while achieving their aims of life. Moreover, as
corporate solicitors also seek to safeguard the businesses as well as people in court of justice.
Also solicitors acts in the capacity of advisors, as educating them about their respective rights
and liabilities and also by preventing them from committing certain acts. Every solicitor also
helps the general public in interpreting the given laws to make understand the decisions given by
the court of justice. The other responsibility is of the keeping the confidentiality of general
6 'Code Of Ethics And Standards Of Professional Conduct' (2019) 58 Journal of Public Health Dentistry
7 Cretney S, 'SIR JOHN WITHERS MP: THE SOLICITOR IN PRIVATE PRACTICE AND PUBLIC LIFE
IN ENGLAND BETWEEN THE WARS' (2017) 66 The Cambridge Law Journal

public. It is very important that the corporate solicitor maintains the peoples confidential
information and assures that the same will not be disclosed in front of the other without due
permission of the party including the trial police verification. Corporate solicitors also play an
important part in assuring that certain part of society are disabled to advance their livelihood.
Solicitors are said to be responsible for imitating some initiatives for guaranteeing some steps to
social and equal development. Further, with respect to the prevention of justice, the solicitors are
duty bound to assure the certain technicalities of law in order to prevent the miscarriage of
justice. Moreover, the code of professional conduct for solicitors which stands in compliance
with the customary and national law and accepted international norms and standards, shall make
up codes of professional conduct for solicitors by suitable bodies or via legislation. Solicitors
also entertain the duty of legislative liability, as they are the front step for assuring the
preservation and establishment of an accountable legislature which aims at upgrading certain
freedom and rights. In short the very major roles of solicitors to society is of the encouragement
of the social peace in the society by applying relevant laws to the case in order to meet the fair
justice. Other can be, acts in the capacity of advisor for the society, where he defends the
companies as well as individuals and educates them for their legal rights and freedoms.

CONCLUSION
Professional ethics is such concept which is very much required in all the sort of professions be it
being a solicitor or some other, such as business or employment. But while comparing with other
profession there stand no such punishments for breach of such duties or of misconduct but in
legal profession there exists such punishments. Moreover, from this report it can be concluded
that the given principles of ethics are just the way in which any corporate solicitor needs to
conduct or perform his work or said actions. Basically, it is to work in a manner which is
ethically right.

REFERENCES
Books and Journals
'Code Of Ethics And Standards Of Professional Conduct' (2019) 58 Journal of Public Health
Dentistry
'Corporate Governance Report: Corporate Governance In Large British And German
Companies: Comparative Institutional Advantage Or Competing For Best Practice?'
(2018) 7 Corporate Governance
'Corporate Style For General Practice Staff' (2020) 30 Practice Management
'Ethical Standards For Psychology: Section 2--Ethical Standards In Professional Relationships;
Section 4--Ethical Standards In Research; Section 5--Ethical Standards In Writing And
Publishing.' (2020) 6 American Psychologist
Akhtar Z, 'Barristers, The Bar Standards Board And The Structural Bias Of Appointing
Disciplinary Tribunals In England And Wales' (2018) 20 Legal Ethics
Cretney S, 'SIR JOHN WITHERS MP: THE SOLICITOR IN PRIVATE PRACTICE AND
PUBLIC LIFE IN ENGLAND BETWEEN THE WARS' (2017) 66 The Cambridge
Law Journal
MCHARDY D, 'The Role Of The Solicitor' (2017) 5 Children & Society
Walker P, 'Cracking The Code: The Genesis, Use And Future Of The Code Of Conduct' (2021)
29 Disasters