Legal Ethics, Professional Responsibility and Compliance
Legal Ethics, Professional Responsibility and Compliance
This domain tests duties to the court, clients and third parties, and the regulatory framework under the Legal Services Regulation Act 2015.
Core duties
- Duty to the court prevails over client instructions: do not mislead the court, withhold material authority or abuse process.
- Confidentiality protects client information; legal professional privilege is narrower, covering legal advice and litigation. Privilege belongs to the client and survives the retainer, but does not cover crime/fraud.
- Conflicts: check at intake and throughout. Do not act where there is a material conflict between clients, a former client confidential information, or the legal executive own interest. Consent does not cure every conflict.
- Client money: hold in a client account, keep proper records and never mix with office money. Undertakings are binding and must be honoured.
- Competence: act within your training; escalate complex advice to a solicitor or counsel.
Regulation
The LSRA regulates legal practitioners; solicitors must hold a practising certificate and professional indemnity insurance. The Solicitors Accounts Regulations govern client accounts. Complaints may go to the LSRA; serious misconduct may reach the Legal Practitioners Disciplinary Tribunal.
Worked example
A client asks the practice to act for both sides in a house sale to speed things up. This is a conflict: the parties interests are opposed on price, warranties and undertakings. The practice must decline both or act for one only after proper checks; consent does not make it safe.
Traps
Confidentiality is not absolute. Client consent does not automatically cure a conflict. Never move client money to office account to cover fees before a bill is delivered.