Respondent AM

Allegation / charges

Code of Conduct 2011, Code of Conduct for Firms 2019, Code of Conduct for Solicitors, REL's & RFL's 2019, Solicitors Accounts Rules 2011, SRA Authorisation Rules, SRA Principles 2019

Codes & rules applied

• Solicitors Accounts Rules 2011
• SRA Code of Conduct 2011
• SRA Code of Conduct for Firms 2019
• SRA Code of Conduct for Solicitors, RELs and RFLs 2019
• SRA Principles 2019

Duties engaged

• Act only on proper, lawful instructions
• Advise on alternatives, settlement and outcome
• AML and crime-prevention compliance
• 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
• File and record retention
• Firm governance, systems and compliance
• 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
• Orderly wind-down and contingency cover
• 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
• Supervise staff and delegated work
• Truthful, non-misleading advertising

Documents

• 📄 Decision / judgment 1.6 MB (archived)