§ discipline

Cross-jurisdiction duties equivalence table

A granular, provision-by-provision map of how each professional-conduct duty is expressed across 16 conduct codes in this database. Each cell cites the equivalent provision (hover or focus for the verbatim text). Built by extracting every obligation from the authoritative code texts — SRA Principles & Codes + Accounts Rules · BSB Handbook · Cayman Islands Code · Australian Solicitors’ & Barristers’ Rules · Irish Law Society Guide & Bar Code · Jamaican Canons · Jersey Code · Ontario Rules of Professional Conduct · BC Code · New Zealand Conduct & Client Care Rules · Law Society of Scotland Standards of Conduct · Singapore Professional Conduct Rules · Hong Kong Solicitors’ Guide & Bar Code — synthesising a common duty taxonomy, then re-mapping and adversarially verifying every placement against the source.

strong equivalent partial absent / unclear
Duty E&W SolicitorsSRA Principles & CodeE&W BarristersBSB HandbookCayman IslandsLegal Services Code 2026AU SolicitorsSolicitors' Conduct RulesAU BarristersUniform Barristers RulesIE SolicitorsLaw Society GuideIE BarristersBar Code of ConductJM AttorneysCanons of Professional EthicsJE LawyersLaw Society of Jersey CodeON LawyersLSO Rules of Prof. ConductBC LawyersBC CodeNZ LawyersConduct & Client Care RulesSCO SolicitorsLSS Standards of ConductSG LawyersProfessional Conduct Rules 2015HK SolicitorsSolicitors' GuideHK BarristersBar Code of Conduct
Duties to the court & the administration of justice
Overriding duty to the court 368 Principle 1; SRA Principles Introduction CD1; rC3; rC4 P.1; R.2.1; R.2.2 Rule 3.1 r25 Ch5 — General (relationship with the court), para (c) Rule 2.5 Canon V; Canon IV(q)(ii) P.1; R.3.1 r 5.1-1 r 5.1-1 r 2.1 / r 13 B1.13 r 4(a) Principle 10.02 / r 2(f) Solicitors' Practice Rules para 10.29
Not mislead the court 380 CCS 1.4; CCS 2.4 rC3.1; rC6; gC4 R.2.1(a); R.2.4 Rules 19.1; 19.2 rr26-27 Ch5 — General; Ch5 — The advocate / conducting litigation Rule 5.16; Rule 5.3(e) Canon V(o); Canon VI(cc); Canon IV(q)(ii) R.3.1 a); R.3.4 r 5.1-2(e) r 5.1-2(e) r 13.1 B1.13 r 9 (Conduct of proceedings) Principle 10.03 para 10.30
Disclose adverse law to the court 59 CCS 2.7 rC3.4; gC5 R.2.1(d) Rules 19.6; 19.8 r31 Ch5 — The solicitor advocate, para 1 Rule 5.19 — R.3.1 d) r 5.1-2(i) r 5.1-2(i) r 13.11 — r 9 (Conduct of proceedings) Principle 10.03 Commentary 7 para 10.38
Full disclosure on ex parte applications 35 — — — Rule 19.4 rr29-30 Ch5 — Ex parte applications — — — r 5.1-1 commentary [6] r 5.1-1, commentary [6] r 13.2.2 — r 9 (Conduct of proceedings) Principle 10.04 Commentary 1 —
No abuse of process or coercive powers 83 CCS 2.6; CCS 2.4; CCS 1.2 rC3.2; rC7 R.2.1(b); R.2.5 Rule 21.1 rr59-60 Ch5 — General (relationship with the court) Rule 2.3(d); Rule 5.18 Canon III(i) R.3.1 b); R.3.5; G.3.8 r 5.1-2(a) r 5.1-2(a) r 2.3 B1.13 r 9 (Conduct of proceedings) Principle 5.02 Commentary 3 para 10.32
Avoid wasting the court's time 75 CCS 2.6 rC3.3 R.2.1(c) Rule 17.2.2 r57 Ch5 — General (relationship with the court) Rule 5.20 Canon V(q) R.3.1 c) r 5.1-1 commentary [8] r 5.1-1, commentary [8] r 3 / r 13.2 — r 9 (Conduct of proceedings) Principle 10.18 para 10.36
Proper basis for allegations 475 CCS 2.4 rC7.3; rC9.2.c R.2.5(c); R.3.2(b)(iii) Rules 21.3; 21.4; 21.5 rr63-64,66 Ch5 — Solicitor instructed in professional negligence proceedings Rule 5.8; Rule 5.5 — R.3.5 c); R.4.2 b)iii) r 5.1-2(g) r 5.1-2(g) r 13.8.1 — r 9 (Conduct of proceedings) Principle 10.03 Commentary 1 / Principle 10.07 Commentary 4 & 6 para 10.23(a)-(b)
No improper questioning of witnesses 9 — rC7.1; rC7.2 R.2.5(a); R.2.5(b) Rules 21.2; 21.8.1 rr60-61 Ch5 — The solicitor advocate, para 4 Rule 5.18 — R.3.5 a)-b) r 5.1-2(m) r 5.1-2(m),(o) r 13.10.3 / r 13.10.5 — r 12 (Communications and dealings with witnesses) Principle 10.07 Commentary 3 para 10.43
No personal opinion or familiarity with court 12 — rC7.4 R.2.5(d) Rules 17.3; 18.1 rr43-44 Ch5 — The solicitor advocate, para 5 Rule 5.17 Canon V(j) R.3.5 d) r 5.1-1 commentary [5]; r 5.1-2(c) r 2.1-2(c) r 13.5.4 — r 9 (Conduct of proceedings) Principle 10.14 Commentary 1 para 10.33
No improper communication with the court 602 — — — Rules 22.5; 22.6 rr53-54 Ch5 — Communication with the court Rule 5.28; Rule 5.29 Canon V(i) G.3.4 r 5.1-2(d) r 2.1-2(d) r 13.2.2 — r 30 (Communication with court) Principle 10.02 Commentary 2-3 para 10.48
Cease acting on client perjury or disobedience 157 CCS 1.4; CCS 2.4 rC25.2; rC25.3; gC11 R.2.4(c); R.2.4(d) Rules 20.1; 20.3 rr78-80 Ch5 — Perjury by a client Rule 5.3(e) Canon V(m); Canon V(n); Canon IV(q)(ii)-(iii) R.3.4 d); G.3.3 r 5.1-2(e),(k); r 5.1-4 commentary [1] r 5.1-2(e),(k) r 13.10.1 B1.13 r 10 (Responsibility for client’s conduct) Principle 10.03 Commentary 5 para 10.40
No tampering with or coaching witnesses 42 CCS 2.1; CCS 2.2 rC9.3; rC9.4; rC9.5 R.3.2(c); R.3.2(d); R.3.2(e) Rules 24.1; 25.1; 26.1 rr68-70,72 Ch5 — Interviewing witnesses; Witness in the course of giving evidence Rule 5.11; Rule 5.12 Canon V(m); Canon V(k) R.4.2 c)-e) r 5.1-2A; r 5.4-2(b) r 5.1-2.1 r 13.10.8 — r 12 (Communications and dealings with witnesses) Principle 10.12 Commentary 2 / Principle 10.28 para 10.25
No payments to witnesses on evidence 12 CCS 2.3 rC9.6 R.3.2(f) — — Ch5 — Payment to witnesses — Canon V(l) R.4.2 f) — — r 13.10.10 — r 12 (Communications and dealings with witnesses) Principle 10.20 —
Prosecutorial fairness and impartiality 3 — — — Rules 29.1; 29.2; 29.3 rr82-85 Ch5 — Criminal cases: The solicitor prosecutor Rule 10.20 Canon III(h) — r 5.1-3 commentary [1] r 5.1-3, commentary [1] r 13.12 — r 15 (Conducting the prosecution in criminal proceedings) Principle 10.14 para 10.66
Prosecutorial duty of disclosure 22 — — — Rules 29.5; 29.7 rr86,88 Ch5 — Criminal cases: The solicitor prosecutor Rule 10.23 Canon III(h) — r 5.1-3 commentary [1] r 2.1-1(b) r 13.12(a) — r 15 (Conducting the prosecution in criminal proceedings) Principle 10.14 Commentary 2 para 10.68
No prejudicial publicity for pending cases 19 — gC22 — Rule 28.1 rr75-76 Ch5 — Publicity for pending litigation or proceedings Rule 6.1 — — r 7.5-2 r 7.5-2 r 13.2 — r 9 (Conduct of proceedings) Principle 10.23 para 10.74(b)
Comply with and respect court orders 128 CCS 2.5 CD1; rC3; rC64.2 — Rules 20.3.1; 20.3.2 rr12(b),80 Ch5 — Compliance with orders of the court Rule 5.1 Canon V(a); Canon V(b) R.3.1; GP.5 r 5.1-5 r 5.1-5 r 13.2 / r 2.2 B1.13 r 13 (Respect for court or tribunal and related responsibilities) Principle 10.11 para 10.34
Honesty, integrity & independence
Honesty 2,275 Principle 4 CD3; rC9.1; rC8 P.3; R.3.1; R.3.2 Rule 4.1.2 rr12(a),5(c) Ch1 — Core values: Honesty; Ch6 — Professional standard of conduct Rule 2.3(b) Canon V(o); Canon I(b); Canon IV P.3; R.4.2 a) r 2.1-1 r 2.2-1 r 10.9 / r 2.4 B1.2 r 5 (Honesty, competence and diligence) Principle 13.01 para 4.1(b)(i)
Integrity 892 Principle 5 CD3; rC8 P.3; R.3.1 Rule 4.1.4 rr12(a),12(c) Ch1 — Core values: Integrity Rule 2.3(b) Canon I; Canon I(c) P.3; R.4.1 r 2.1-1 r 2.2-1 r 12 B1.2 r 4(c) Principle 1.01 / r 2(a) & (d) Solicitors' Practice Rules para 10.3(b)
Professional independence 219 Principle 3 CD4; rC3.5; rC8 P.5; R.2.1(e); R.3.1 Rules 4.1.4; 17.1 rr25,41,4(b) Ch1 — Core values: Independence Rule 2.8; Rule 2.1 Canon IV(c) P.5; R.4.1; R.5.1 d) r 7.3-2; r 7.3-1 r 7.3-1 r 5 B1.3 r 4(b) Principle 3.01 para 10.3
No taking unfair advantage 487 CCS 1.2 gC25.7; gC26 R.11.2 Rule 30.1 rr28,46 Ch1 — Core values: Integrity; Ch6 — Professional standard of conduct — — R.10.2 r 7.2-2 r 7.2-2 r 2.7 / r 5.1 B1.2 r 8 (Conduct in relation to other persons) Principle 13.01 / Principle 5.15 footnote 2 (para 4.1)
Not mislead third parties or opponents 463 CCS 1.4 rC9.1 R.3.2(a) Rules 22.1; 22.2 rr48-49 Ch1 — Core values: Integrity; Ch6 — Professional standard of conduct Rule 5.3(a) Canon VI(cc); Canon V(o) R.4.2 a) r 3.2-7(a); r 7.2-1 r 2.2-1 r 10.9 B1.2 r 8 (Conduct in relation to other persons) Principle 13.01 / Principle 13.01 Commentary 4 para 10.47(a)-(b)
No direct dealing with represented party 14 — gC24 R.11.3 Rule 33.1 r51 Ch7 — Communicating with the client of another solicitor: General Rule 5.13 Canon VI(f) R.10.3 r 7.2-6 r 7.2-6 r 10.4 — r 31 (Communication with another legal practitioner) Principle 11.02 / Principle 10.21 —
Fair dealing with unrepresented parties 47 CCS 1.2 rC7.1; gC5 R.11.2 Rule 34.1 r52 Ch6 — Persons acting without legal representation Rule 5.14 — R.10.2; G.10.7; G.10.8 r 7.2-9 r 7.2-9 r 12 / r 12.1 — r 8 (Conduct in relation to other persons) Principle 13.01 Commentary 1 & 3 para 10.6
No bribery or improper gifts 872 CCS 2.3; Principle 2 gC18; gC19; gC30.2 R.7.9; R.10.1 — r45 Ch3 — Prohibition on payments to clients; Ch6 — Inducements — Canon V(h) R.6.9 r 5.1-2(d) r 5.1-2(d) r 5.9 — — — para 10.10
Personal probity and fitness to practise 1,235 Principle 2; CCS Introduction CD5; gC25; gC27 P.2; R.3.1 Rule 5.1.1 rr12(a),13 Ch6 — Professional standard of conduct Rule 2.3(c); Rule 2.12 Canon III(k); Canon I(b) P.2; GP.6 r 2.1-1 commentary [3] r 2.2-1, commentary [3] r 1.4 B1.2 r 4(c) Principle 1.03 Commentary para 4.1(b)
Uphold public trust in the profession 1,561 Principle 2 CD5; rC8; gC16 P.2 Rule 5.1.2 r12(c) Ch1 — Core values: General; Ch9 — Accounts regulations: General Rule 2.3(c); Rule 2.2 Canon I(b); Canon VIII(b) P.2 r 2.1-2; r 2.1-1 commentary [2] r 2.2-2 r 10.2 B1.2 r 4(b) Principle 1.01 / r 2(d) Solicitors' Practice Rules para 4.1(b)(ii)
No unlawful discrimination or harassment 788 Principle 6; CCS 1.1; CCS 1.5 CD8; rC12 — Rule 42.1 — Ch6 — Discrimination Rule 3.3; Rule 7.2; Rule 7.4 — — r 6.3.1-1; r 6.3-3 r 6.3-3 to 6.3-5 r 10.3 B1.15 — Principle 5.01 Commentary 1 para 10.1
Duties owed to clients
Act in the client's best interests 647 Principle 7 CD2; rC15.1; rC15.2; rC15.3 P.4; R.6.1(a) Rule 4.1.1 r37 Ch5 — General (relationship with the court), para (a) Rule 2.6; Rule 3.1 Canon IV; Canon IV(c) P.4; R.5.1 a)-b) r 5.1-1 commentary [1]; r 3.4-1 commentary [2] r 2.1-3(e) r 6 B1.4 r 4(b) Principle 7.02 / r 2(c) Solicitors' Practice Rules para 10.15
Act only on proper, lawful instructions 97 CCS 3.1 rC21.6; rC15.1 R.4.1(c)(i); R.4.1(c)(vi) Rule 8.1 r39 Ch1 — The function of the solicitor in society; Ch2 — Instructions to be taken directly from the client Rule 5.5; Rule 4.1 Canon III(f); Canon IV(q)(ii) R.1.1 c)i), iii) r 3.2-3 commentary [1]; r 3.7-7(b) r 3.2-3, commentary [1] r 13.3 B1.5 — Principle 5.02 / Principle 5.12 Commentary 2 para 6.2(c)
Disclose material information to client 196 CCS 6.4 gC51; rC17 R.5.2.1 Rule 7.1 rr38-39 Ch3 — General (conflict of interest) Rule 3.26 Canon IV(r) R.2.2 r 3.2-2 commentary [1.1] r 3.2-2 r 7 B1.9 — Principle 8.03 —
Advise objectively, not a mere conduit 387 Principle 3; Principle 7 rC20; CD4 R.6.1(b); P.5 Rule 17.1 r41 Ch1 — The function of the solicitor in society; Ch6 — Litigation: initiating letters and correspondence Rule 5.15 Canon IV(c) R.5.1 d); P.5 r 3.2-2 commentary [2] r 2.1-3(a) r 5.3 B1.3 — Principle 5.18 / Principle 5.19 para 10.17(a)
Client confidentiality 38 CCS 6.3 CD6; rC15.5; gC42 R.5.1; R.6.1(c) Rules 9.1; 9.2 r108 Ch4 — Professional duty of confidentiality: General Rule 2.7; Rule 3.7(a) Canon IV(t) R.2.1 r 3.3-1 r 3.3-1 r 8 B1.6 r 6 (Confidentiality) Principle 8.01 para 10.18(b)
Protect legal professional privilege 45 CCS 6.4(d) gC42; gC93 — Rules 19.5.1; 31.1 r30 Ch4 — Privilege; Receipt of information intended for the other party Rule 3.7(b); Rule 3.8 Canon IV(t) G.2.3; G.2.12 r 3.5-7 commentary [1]; r 3.3-1.1 r 3.3-2.1 r 13.9.2 / r 13.9.3 B1.6 r 6 (Confidentiality) Principle 8.01 Commentary 8 para 7.13(a)
Client-care and engagement terms 34 CCS 8.6; CCS 8.11 rC22 R.4.2 — r24B Ch2 — Acceptance of instructions: Terms and conditions of business; Information in relation to legal costs — — R.1.2 r 3.2-1A.1 r 3.2-1.1 r 3.4 / r 3.5 B1.9 — Principle 5.12 Commentary 7 / Principle 5.17 Commentary 1 para 5.18(c)(i)
Keep client informed and respond promptly 376 CCS 3.2; CCS 8.6 gC38; gC41 R.4.4 Rules 7.1; 4.1.3 r105 Ch2 — Proper standard of legal services: General; Failure to reply to letters Rule 3.19; Rule 2.13 Canon IV(r) R.1.5 r 3.2-1; r 3.2-1 commentary [6] r 3.2-1 r 7.1 / r 7.2 B1.9 r 5 (Honesty, competence and diligence) Principle 5.17 / Principle 5.12 Commentary 5 para 10.5
Complaints procedure and handling 210 CCS 8.2; CCS 8.3; CCS 8.5 rC99; rC104; rC105; rC108 R.4.5 — — Ch2 — Complaints — — R.1.6 — — r 11.5 / r 3.4(d) — — Principle 6.01 Commentary 9 —
Proper termination and return of instructions 60 — rC25; rC26; rC27 R.4.7 Rules 13.1; 13.4 rr101-102 Ch2 — Termination of a retainer: General Rule 3.22; Rule 3.25 Canon IV(o) R.1.8 r 3.7-1 r 3.7-1 r 4.2 B1.12 r 26 (Completion of retainer and withdrawal from representation) Principle 5.22 para 6.13
Continuity and handover of representation 41 — gC83; rC27.2; gC48 — Rules 13.1; 14.1 rr104,106 Ch7 — Copying the client's file; The file belongs to the client Rule 3.19; Rule 3.23 Canon IV(o)(i)-(iii) G.1.33 r 3.7-8; r 3.7-9 r 3.7-8 r 4.2.4 / r 4.4.4 B1.12 r 26 (Completion of retainer and withdrawal from representation) Principle 5.23 para 6.14
Protect capacity and vulnerable clients 44 CCS 3.4; CCS 3.1 oC14; gC41; gC71 R.4.1(c)(iv); R.4.1(c)(v) Rules 8.1; 34.2 r46 Ch2 — Client lacking mental capacity; Duress or undue influence — — R.1.1 c)iv)-v) r 3.2-9 r 3.2-9 r 8.4(c) / r 3.7(c) — — Principle 5.04 / Principle 5.01 Commentary 4 —
Non-discriminatory acceptance and cab-rank 446 CCS 1.1 rC28; rC29 R.4.1(a); R.4.1(b) Rule 42.1 rr21,5(f) Ch2 — Acceptance of instructions: General; Legally aided clients in criminal matters Rule 3.10; Rule 2.4 Canon III(a); Canon III(c) R.1.1 a)-b); R.1.4 r 4.1-1 commentary [4] r 2.1-1(c) r 4 / r 4.1.1 B1.15 r 4(e) Principle 5.01 / Commentary 1 & 2 para 6.1
Advise on alternatives, settlement and outcome 141 CCS 8.6 — — Rule 7.2 rr38-40 Ch2 — Litigation, arbitration and mediation; Ch5 — Duty of solicitors to encourage mediation and ADR; Ch10 — Explanations to client during settlement negotiations Rule 3.26 Canon III(i) G.1.25 r 3.2-4; r 3.2-4 commentary [1] r 3.2-4 r 13.4 — r 8A (Conduct of alternative dispute resolution process) Principle 10.17 para 10.27
Costs and fee transparency to client 68 CCS 8.7 rC22.1; rC19.2 R.4.3 — — Ch2 — Information in relation to legal costs Rule 12.13 — R.1.3 r 3.6-1; r 3.6-1 commentary [3] r 3.6-1, commentary [3] r 3.4(a) / r 9.4 B1.9 r 17 (Professional fees and costs) Principle 4.01 para 9.13(b)
Fair, reasonable and lawful fees 106 CCS 1.2; CCS 5.1(d) rC9.7 R.3.2(g) Rule 12.2 rr22,46 Ch10 — Excessive fees; Restriction on calculation of charges as a percentage of damages Rule 12.7; Rule 12.4 Canon IV(e); Canon IV(f) R.4.2 g) r 3.6-1; r 3.6-2 r 3.6-1 r 9 B1.11 r 17 (Professional fees and costs); r 18 (Contingency fees prohibited) Principle 4.13 / Principle 4.17 para 9.1(b); para 9.9
Disclose referrals, commissions and benefits 60 CCS 5.1; CCS 4.1 rC81; rC82; gC124 R.4.3(f); R.9.1 Rules 12.4.3; 12.4.4 r45 Ch10 — Disclosure of commissions — Canon IV(g) R.1.3 g) r 3.6-6.1(2); r 3.6-1 commentary [2] r 3.6-1, commentary [2]; r 3.6-6 r 5.9 B1.8 r 39 (Touting and referrals); r 40 (Agreement for referrals) Principle 7.04 / Principle 7.03 para 10.10
No acting against a former client 36 CCS 6.5 rC21.3; rC21.4 R.7.7 Rules 10.1; 10.2 rr95(a),97 Ch3 — Non-conveyancing transactions (prior solicitor/client relationship) Rule 3.11 Canon IV(t)(ii) R.6.7 r 3.4-10 r 3.4-10 r 8.7.1 B1.7 r 21 (Conflict, or potential conflict, between interests of current client and former client) Principle 9.03 para 6.2(h)
No own-interest conflict 109 CCS 6.1 rC21.2; rC21.10 R.7.6 Rules 12.1; 12.3 rr95(b),95(g) Ch3 — Conflict of interest between solicitor and client Rule 3.12; Rule 3.13 Canon IV(j) R.6.6 r 3.4-1; r 3.4-1 commentary [1] r 3.4-26.1 r 5.4 B1.7 r 22 (Conflict, or potential conflict, between interests of client and interests of legal practitioner or law practice, in general) Principle 7.02 para 6.3
No conflict between current clients 1,282 CCS 6.2 rC21.3; gC69 R.7.1; R.7.2; R.7.3 Rules 11.1; 11.2; 11.3; 11.4 r113 Ch3 — General; Conflict of interest between two clients; Non-conveyancing transactions Rule 3.16; Rule 10.10 Canon IV(k); Canon IV(l); Canon IV(m) R.6.1; R.6.3 r 3.4-2; r 3.4-3 r 3.4-2 r 6.1 B1.7 r 20 (Conflict, or potential conflict, between interests of 2 or more clients) Principle 9.01 para 10.14(a)
Manage conflict arising mid-matter 23 CCS 6.2 rC25; gC37 R.7.5 Rule 11.5 rr112-113 Ch3 — Conflict of interest between solicitor and client Rule 3.11 Canon IV(k); Canon IV(m); Canon IV(n)(v) R.6.5 r 3.4-8 r 3.4-1 r 6.1.2 / r 6.1.3 B1.7 r 20 (Conflict, or potential conflict, between interests of 2 or more clients) Principle 9.04 / Commentary 4 para 6.10(c)
Handle inadvertently received material 391 CCS 6.4(d) rC26.6; gC86 R.5.2.2(b) Rules 31.1; 31.3 — Ch4 — Material disclosed by mistake; Receipt of information intended for the other party Rule 7.6 — G.2.20-G.2.21 r 7.2-10 r 7.2-10 r 13.9.4 — — Principle 8.03 Commentary 6 para 10.45
No improper benefit, loan or bequest 158 CCS 1.2 gC18; gC19 R.7.9 Rules 12.2; 12.3 rr46-47 Ch3 — Bequests or gifts by client to solicitor, staff or family; Borrowing money from a client — — R.6.9 r 3.4-39; r 3.4-28.1 r 3.4-38 r 5.8 / r 5.10 B1.8 r 23 (Prohibited borrowing transactions); r 24 (Purchases from client); r 25 (Gifts from client) Principle 7.05 para 9.5
No standing bail or surety for client 10 — — R.7.10 Rule 17.4 — Ch5 — The solicitor standing bail — — R.6.10 r 3.4-40 r 3.4-40 — — — Principle 10.19 —
Client money & accounts
Segregate client money 92 SAR Rule 4.1; SAR Rule 3.2; SAR Rule 5.3 — P.7; R.9.2; R.9.3 — — Ch9 — Accounts regulations: General — Canon VII(a) P.7; R.7.4 c)-d) r 3.5-4; r 3.2-7.3 r 2.1-3(h) r 10.5.2 — r 16 (Client money) Principle 2.03 Commentary 3 para 5.19(a)
No improper use of client money 1,489 SAR Rule 5.1; SAR Rule 3.3; SAR Rule 5.3 — P.7; R.9.2 — — Ch9 — Accounts regulations: General — Canon VII(a) P.7; R.7.4 a),c) r 3.6-10; r 3.2-7.3 r 3.6-10 r 10.5.2 / r 9.3 — r 16 (Client money) Principle 13.02 / Principle 4.02 Commentary 4 para 5.19(a)
Prompt accounting and return of money 701 SAR Rule 2.3; SAR Rule 2.4; SAR Rule 2.5 — R.9.1; R.9.2 — — Ch9 — Responsibility for clients' monies; Ch2 — Accounting for monies — Canon VII(b)(ii) G.1.33 r 3.5-6; r 3.5-3 r 3.5-6 r 9.6 — r 16 (Client money) Principle 5.23 —
Accounting records, reconciliation and reports 879 SAR Rule 8.1; SAR Rule 8.3; SAR Rule 12.1 rC88.1; rC87.2 R.8.4(c) — — Ch9 — Accounts regulations: General — Canon VII; Canon VII(b)(i) R.7.4 c)-d) r 3.5-5 r 3.5-5 — — — Principle 2.03 Commentary 3 para 9.13(a)
Account for interest on client money 94 SAR Rule 7.1 — — — — Ch10 — Interest on client monies — — — — — — — — Principle 7.04 Commentary —
No personal handling of client money 6 CCS 4.3; SAR Rule 11.1 rC73; rC74 R.9.3 — r17(l) — Rule 2.16 — — — — r 14.2(e) / r 14.10 — — — para 5.19(a)
Safeguard documents and limit liens 161 CCS 4.2 rC131 R.4.2(d); R.4.3(g); R.4.8 Rules 14.1; 14.2; 15.1 — Ch10 — The solicitor's lien on monies; Ch7 — The file belongs to the client Rule 6.10; Rule 3.7(c)-(d) Canon IV(o)(iii); Canon VII(c) R.1.2 e); R.1.3 h); R.1.10; G.1.33 r 3.7-9(b); r 3.5-2 commentary [2] r 3.7-9(b) r 4.4.1 / r 4.4.2 — — Principle 5.23 para 7.13(c)(viii)
Competence, diligence & practice management
Competence 245 CCS 3.2 CD7; rC21.7; rC21.8 P.6; R.4.1(c)(ii) Rule 4.1.3 rr21(a),5(c) Ch2 — Refusal of instructions; Proper standard of legal services: General Rule 2.3(f); Rule 3.21 Canon IV; Canon IV(s) P.6; R.1.1 c)ii) r 3.1-2; r 3.1-2 commentary [6] r 3.1-2 r 3 B1.10 r 5 (Honesty, competence and diligence) Principle 6.01 / Principle 5.03 para 10.5(a)
Diligence and timeliness 454 CCS 3.2 rC18; gC38.4 R.4.4 Rule 4.1.3 rr56,105 Ch2 — Proper standard of legal services: General; Failure to reply to letters Rule 2.13; Rule 3.19 Canon IV(r); Canon IV(s) R.1.5 r 3.2-1; r 3.1-1(e) r 3.2-1, commentary [4] r 3 / r 3.3 B1.10 r 5 (Honesty, competence and diligence) Principle 6.01(b) / Principle 5.12 para 10.5
Maintain competence and CPD 50 CCS 3.3; CCS 7.1 gC39 R.8.6 — — Ch9 — Continuing professional development Rule 9.2 — R.7.7 r 3.1-1(j); r 3.1-2 commentary [2] r 3.1-2, commentary [2] r 3.9 B1.10 r 4(h) Principle 1.05 para 11.18(a)(i)
Supervise staff and delegated work 112 CCS 3.5; CCS 3.6; CCF 4.4 rC89.6; gC66; rC20 R.1.1; R.8.5 Rule 37.1 r107(a) Ch9 — Supervision of the solicitor's office: General; In-house duty of supervision — — R.7.5; R.7.6 r 6.1-1 r 6.1-1 r 11.1 — r 32 (Responsibility for staff of law practice) Principle 2.04 / Principle 2.03 para 3.5
Firm governance, systems and compliance 220 CCF 2.1; CCF 2.2; CCF 2.5 CD10; rC87; rC89; rC94 P.8; P.10; R.8.1; R.8.2 Rules 4.1.5; 37.1 — Ch9 — Accounts regulations: General; The security and confidentiality of office systems Rule 2.13 Canon VII P.8; R.7.1; R.7.2 r 6.1-1(a); r 3.1-1(i) r 7.1-1(f) r 11 — r 35 (Responsibilities in relation to management and operation of law practice) Principle 2.02 para 7.1
Professional indemnity insurance 136 CCS 5.6 rC76; rC77 R.8.3 — — Ch9 — Professional indemnity insurance Rule 2.15 — R.7.3 r 7.8-2 commentary [1] r 7.1-2 r 3.4(b) — — Principle 2.01 Commentary 4 para 5.3
File and record retention 23 SAR Rule 13.1; CCF 2.2 rC87; rC108; rC129 R.4.8; R.8.2(c) Rule 14.2 — Ch9 — Retention or destruction of files Rule 3.7(d) — R.1.10 — — r 4.5(b) — — Anti-Money Laundering appendix (Principle 8.01) para 3 para 7.10
Orderly wind-down and contingency cover 75 CCF 2.4; CCF 3.6 rC72 R.13.1(f) — — Ch9 — Changes in the solicitor's practice; Succession planning for solicitor's unexpected absence from office — — R.12.5; R.12.1 g); G.12.11; G.12.12 r 7.1-3(b) r 3.7-1, commentary [4] — — — Principle 2.05 / Principle 2.06 —
Hold a current practising certificate 384 — rC89.9.b; rC94.7 R.13.3 — — Ch7 — Payment for assistant solicitors' practising certificates Rule 9.1 Canon II(j); Canon V(s) R.11.1 r 7.6-1.2 — r 14.2 / r 1.2 — — Principle 2.01 para 5.1
Duties to the profession, regulator, third parties & public
Cooperate openly with regulators 280 CCS 7.3; CCS 7.4 CD9; rC64; rC70; rC71 P.9; R.13.1(a); R.13.2 Rule 43.1 — Ch6 — Legal Services Regulatory Authority; Law Society of Ireland Rule 2.20; Rule 2.3(i) — P.9; R.12.1 a) r 7.1-1 r 7.1-1 r 10.14 B1.16; B1.17 — Principle 6.04 para 4.7
Self-report to the regulator 201 CCS 7.6 rC65; rC64.1 R.13.1(b); R.13.1(c); R.13.1(d); R.13.1(f) — — — Rule 2.12 — R.12.1 b),d),e),g) r 7.1-4.4 r 7.1-3(c) — — — Principle 11.03 Commentary 3 para 4.6
Report serious misconduct of others 232 CCS 7.7; CCS 7.8 rC66 R.13.1(g) — — Ch7 — Serious misconduct by another solicitor — Canon I(d) R.12.1 h) r 7.1-3 r 7.1-3(e) r 2.8 — r 29 (Allegations against another legal practitioner) Principle 11.03 —
No obstruction or victimisation of reporters 50 CCS 7.5; CCS 7.9 rC69 R.13.4(a); R.13.4(c); R.13.4(d) — — — — — R.12.4 a)-d) r 7.1-4 to 7.1-4.3 r 3.2-6, commentary [1] r 2.10.1 — — Principle 5.09 / Commentary 1 / Principle 14.11 —
No baseless or threatened misconduct report 522 — rC67 — Rule 32.1 — — — — — r 3.2-5(b); r 7.1-3 commentary [1] r 7.1-3, commentary [2] r 2.10 — r 29 (Allegations against another legal practitioner) — para 10.50
AML and crime-prevention compliance 122 CCS Introduction; CCF Introduction gC43 R.10.1 — — Ch9 — Retention or destruction of files; Ch1 — Legislation — — G.1.4; G.2.15 r 3.2-7 commentary [2] r 3.2-7 r 10.11 / r 2.4 — — Principle 5.01 Commentary 6 / Practice Direction P (Principle 8.01 appendix) —
Honour professional undertakings 450 CCS 1.3 rC11; gC33 R.11.4 Rule 6.1 — Ch6 — Undertakings: General; General guidance on undertakings — Canon VI(c); Canon VI(d); Canon VI(e) R.10.4 r 7.2-11; r 5.1-6 r 7.2-11 r 10.5 B1.14 r 7 (Responsibilities of legal practitioners to each other) Principle 14.02 / Principle 14.01 para 10.4
Good faith and courtesy to colleagues 347 CCS 1.5 gC24; gC25.4 R.11.1 Rules 4.1.2; 34.1.3 rr5(d),12(a) Ch7 — Professional standard of conduct: General Rule 7.1; Rule 8.5 Canon VI; Canon VI(a); Canon VI(b) R.10.1 r 7.2-1 r 7.2-1 r 10.1 / r 12 B1.14 r 4(f) Principle 11.01 para 10.6
Pay instructed practitioners and agents 56 — rC155 R.11.5 Rule 35.1 — Ch8 — The solicitor's liability for professional fees; Ch11 — Instructing foreign lawyers — Canon VI(j) R.10.5 r 7.1-2 r 7.1-2, commentary [1] r 12.2 / r 10.12 — r 7 (Responsibilities of legal practitioners to each other) Principle 12.04 / Principle 4.14 para 6.27(a)
No improper fee-sharing or partnership 24 CCS 5.4 rC149; rC150 — Rule 40.1 r16 Ch10 — Fee sharing Rule 7.11; Rule 8.4 Canon IV(a); Canon II(a) R.9.1; R.11.2 r 3.6-7 r 3.6-7 r 9.13 / r 9.15 — r 19 (Unauthorised persons) Principle 4.16 paras 5.15 and 9.11
Truthful, non-misleading advertising 45 CCS 8.8 rC19; gC57 R.12.2; R.12.3 Rules 36.1; 36.2 — Ch9 — Advertising Rule 6.13 Canon II(d); Canon II(g) R.8.2; R.8.3 r 4.2-1 r 4.2-5 r 10.9 — r 44 (Misleading, deceptive, inaccurate or false, etc., publicity) Principle 3.02 / Principle 4.01 Commentary 6 para 8.1(b)(i)
No improper solicitation or touting 287 CCS 8.9 rC14 R.12.4 Rule 34.2 — Ch9 — Touting Rule 6.5(b) Canon II(b); Canon II(c); Canon II(d) R.8.4 r 4.1-2 r 4.2-5, commentary [1] r 10.10 — r 39 (Touting and referrals) Principle 3.03 para 8.1(b)(vi)-(viii)
Not misrepresent regulated status 272 CCS 8.10; CCS 5.4 rC83; rC84; rC19.4 — Rule 39.1 — Ch9 — The solicitor as agent for an institution Rule 2.10 Canon II(a) — r 4.2-1.1; r 6.1-1 commentary [5.1] r 4.2-8 r 2.11 / r 14.13 — r 33 (Descriptions) Principle 13.04 —
Serve justice and improve the law 259 Principle 1 CD1; oC2; oC7; rC28 P.1 — rr2(b),5(f) Ch1 — The function of the solicitor in society Rule 6.4 Canon III; Canon III(j) P.1; R.1.4 r 5.6-1; r 4.1-1 r 5.6-1 r 2 / r 4 — r 4(e) President's Foreword (non-binding) / Chief Justice's Foreword para 1.1
Comply with rules of foreign jurisdictions 25 CCS Introduction rC13; rC147; rC152 R.8.2(b) — r9 Ch11 — EU Directive on Establishment Rule 13.8; Rule 13.4 — G.14.2 — — — B1.1 r 4(g) Principle 1.08 para 3.3

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