Bridget Catherine Miller
Allegation / charges
Breaches, Code of Conduct 2011, Code of Conduct for Solicitors, REL's & RFL's 2019, SRA Principles 2011, SRA Principles 2019
Findings — machine-extracted (anthropic-batch:claude-opus-4-8); verify against the decision
This Agreed Outcome judgment concerned the Third Respondent, Bridget Catherine Miller, a salaried partner at WGS Solicitors. She admitted allegation 3.1 on the basis that she materially contributed to the Firm's AML failures regarding client B1 by failing to scrutinise the source of funds and failing to properly assess the risk of each transaction. The element alleging failure to apply enhanced due diligence (EDD) was withdrawn as the SRA considered pursuing it disproportionate. The Tribunal assessed the misconduct as moderately serious (Fine Band Level 3) and approved a fine of £3,500 (reduced for limited means) plus £6,500 costs. No finding of dishonesty was made.
Duties found breached:
- Act in the client's best interests
- AML and crime-prevention compliance
- Good faith and courtesy to colleagues
- No conflict between current clients
- Non-discriminatory acceptance and cab-rank
Mitigating factors:
- Limited means
- Admissions made, avoiding contested hearing
Codes & rules applied
Duties engaged
- Act only on proper, lawful instructions
- Advise on alternatives, settlement and outcome
- Avoid wasting the court's time
- Cease acting on client perjury or disobedience
- Client-care and engagement terms
- Client confidentiality
- Competence
- Complaints procedure and handling
- Comply with and respect court orders
- Comply with rules of foreign jurisdictions
- Continuity and handover of representation
- Cooperate openly with regulators
- Costs and fee transparency to client
- Diligence and timeliness
- Disclose adverse law to the court
- Disclose material information to client
- Disclose referrals, commissions and benefits
- Fair dealing with unrepresented parties
- Fair, reasonable and lawful fees
- Full disclosure on ex parte applications
- Good faith and courtesy to colleagues
- Handle inadvertently received material
- Hold a current practising certificate
- Honour professional undertakings
- Keep client informed and respond promptly
- Maintain competence and CPD
- Manage conflict arising mid-matter
- No abuse of process or coercive powers
- No acting against a former client
- No baseless or threatened misconduct report
- No conflict between current clients
- No direct dealing with represented party
- No improper benefit, loan or bequest
- No improper communication with the court
- No improper fee-sharing or partnership
- No improper questioning of witnesses
- No improper solicitation or touting
- Non-discriminatory acceptance and cab-rank
- No obstruction or victimisation of reporters
- No own-interest conflict
- No payments to witnesses on evidence
- No personal opinion or familiarity with court
- No prejudicial publicity for pending cases
- No standing bail or surety for client
- No taking unfair advantage
- No tampering with or coaching witnesses
- Not mislead the court
- Not mislead third parties or opponents
- Not misrepresent regulated status
- Pay instructed practitioners and agents
- Professional indemnity insurance
- Proper basis for allegations
- Proper termination and return of instructions
- Prosecutorial duty of disclosure
- Prosecutorial fairness and impartiality
- Protect capacity and vulnerable clients
- Protect legal professional privilege
- Report serious misconduct of others
- Safeguard documents and limit liens
- Self-report to the regulator
- Truthful, non-misleading advertising