PPC2 Professional Responsibility key terms

A published body of rules and principles, issued by the regulator, that governs how lawyers deal with clients, courts, opponents and the public; breaching it can amount to misconduct and attract disciplinary sanction.

Conduct by a lawyer that falls below the standard the profession expects of its members, whether or not it is also a crime, and which can lead to a disciplinary charge and penalty.

The body empowered by statute or by the profession itself to admit lawyers, set practice standards, investigate complaints and impose discipline, thereby protecting the public and the reputation of the profession.

The most severe disciplinary sanction: the lawyer's name is removed from the roll of practitioners, ending the right to practise, and is usually reserved for dishonesty or a fundamental lack of fitness.

The character test an applicant must meet before admission: a demonstrated record of honesty, integrity and candour, assessed in the light of any past misconduct, convictions or insolvency.

The formal step in which an applicant who has completed the required academic study, practical training and character assessment is registered as a lawyer entitled to practise.

An annual licence from the regulator confirming that a lawyer is entitled to practise for that year and has the required professional indemnity cover and fidelity fund contributions in place.

The ongoing legal education that practising lawyers must complete each year, recorded and subject to audit, so that their knowledge and skills stay current.

The agreement, written or implied, by which a lawyer undertakes to act for a client; it fixes the work to be done and the basis of the professional relationship.

A written communication to a new client confirming the scope of work, the person responsible, the fee basis and important terms such as confidentiality, file handling and how the mandate may end.

The boundary of the work the lawyer has agreed to perform; acting outside it without the client's agreement can be a breach of the retainer and is generally not chargeable.

The ending of the lawyer-client relationship, whether by completion of the work, dismissal by the client, or justified withdrawal by the lawyer on reasonable notice and without prejudicing the client.

The lawyer's right to hold on to a client's documents or property until unpaid fees for that matter are settled, subject to the client's reasonable need for the file.

A situation in which the lawyer's own interests, or the interests of a different client, create a material risk that the lawyer's loyalty or independent judgment for the client will be compromised.

A conflict between two clients whom the lawyer represents at the same time, typically because they are opposing parties in the same or a closely related matter.

A conflict that arises when a lawyer acts against a former client in a matter where confidential information obtained from that former client is relevant and could be used to their disadvantage.

The client's agreement to a proposed course of action, given after clear and complete disclosure of the material risks, alternatives and consequences, so the choice is genuinely the client's.

An internal arrangement in a firm that screens a conflicted lawyer from a matter, its files and discussions, so that confidential information held by that lawyer does not reach the team acting.

A search of the firm's records, made before accepting instructions, to identify existing or former clients and adverse parties whose interests might create a conflict.

The lawyer's duty not to reveal information about a client's affairs learned through the professional relationship; it is owed to the client and continues after the relationship ends.

An evidentiary protection for confidential communications between lawyer and client made for the dominant purpose of seeking or giving legal advice, which cannot be compelled in evidence or disclosure without the client's consent.

A related protection covering confidential communications and documents created for the dominant purpose of pending or reasonably contemplated litigation, including communications with third parties such as experts.

The rule that privilege does not attach to communications made in order to further a crime or fraud, so the protection is lost where legal advice is abused for that purpose.

The client's loss of privilege by voluntarily disclosing protected material or by putting the legal advice in issue, which can entitle the other side to see the communication.

The lawyer's duty to possess, or to acquire, the legal knowledge, skill, preparation and resources needed to handle the matter to the standard of a reasonably competent practitioner.

The duty to pursue a client's matter with reasonable promptness, sustained effort and proper attention, meeting deadlines and avoiding unnecessary delay.

The obligation to give the client regular, clear information about progress, costs, risks and available options, so the client can give proper instructions and make decisions.

The principle that the client, not the lawyer, chooses the objectives of the representation - such as whether to settle, plead guilty or proceed to trial - after receiving the lawyer's advice.

A separate bank account, controlled by the firm but holding money belonging to clients, from which funds may be withdrawn only for the client's purposes or on the client's authority.

Mixing client money with the lawyer's own or the firm's business funds, which is prohibited because it makes tracing client money impossible and invites misappropriation.

A compensation scheme, funded by contributions from practitioners, that reimburses clients who lose money through the theft or dishonesty of a lawyer.

A fee that is fair in amount having regard to the time and skill required, complexity, the lawyer's experience, urgency and the result achieved, and which must be disclosed to the client.

A fee arrangement in which the lawyer is paid only, or mainly, out of the proceeds of the matter, often as a percentage; it is restricted or prohibited in many jurisdictions and always requires clear disclosure.

The duty to keep accurate records of client money, provide the client with a written statement of account, and pay over any balance promptly on request.

The lawyer's status as a participant in the administration of justice, which carries duties to the court that can override the client's wishes and the lawyer's private interests.

The lawyer's duty not to mislead the court, to cite adverse authorities, and to correct any misleading statement or error previously made, even where this harms the client's case.

A personal promise by a lawyer to do or refrain from doing something, given to a client, court or third party, which binds the lawyer and is enforced by the regulator as a matter of professional duty.

The lawyer's obligation to deal honestly and fairly with opponents, witnesses and others, including not communicating directly with a represented party or using improper pressure.