Ten steps to ethical decisions as a solicitor
Guidance and Ethics
01/04/2021
- Honesty and probity: Notwithstanding all and any pressures that might face practitioners in their professional and private lives, it is an absolute and fundamental condition of a solicitor holding a practising certificate that they behave at all times and conduct each and every professional engagement as an officer of the courts. Practising solicitors must be cognisant at all times of the position of trust they hold towards their clients and their obligation to behave at all times with honesty, probity, and integrity in all their dealings with colleagues.
- Know your client/AML/source of funds: This area of practice is under constant review and development and is subject to national and European regulations and oversight by the Law Society of Ireland. To ensure compliance with your statutory obligations regarding anti-money-laundering, invest in implementing and instructing all staff in the operation and management of a comprehensive centralised system (instead of notation on/regarding individual files) for the collection, storage, accessing and updating of appropriate client data (subject at all times to GDPR obligations).
- Capacity / conflicts of interest: Make sure you have clear instructions as to who your client is and how they are in a position to instruct you. Address and satisfy yourself at the outset that the instructing party has capacity. Are there any circumstances that would prevent you from taking instructions? Is there a conflict of interest or the appearance of one? Take advantage of the ‘cooling-off’ period in your section 150 notice to ensure you are satisfied that you have enough information to be able to perform your professional duties.
- Terms of engagement / accountability: Are the terms upon which you/your firm will perform and deliver the legal services to your client agreed and evidenced in writing? This should include any engagements of third parties and the amount/manner and timing of the discharge of their and your professional fees.
- What are your instructions? Having regard to the steps outlined above, do you now have sufficient information about the nature and extent of your instructions to allow you form an informed view about your ability to carry out your instructions?
- Help! Based on your assessment of the instructions received, will it be necessary to engage counsel, other professionals, or service providers? Have you advised your client, and have you received instructions in writing that the client wishes to engage external advisors and that they will be responsible for the discharge of their fees?
- Is time of the essence, and can you realistically meet the client’s expectations / contract obligations in the time available? Is there any possible statute issue? Do you have enough information to comfortably identify all statute issues that might arise? Do you have a policy of refusing instructions where the matter is within a fixed period of expiry of a limitation period?
- Evidenced in writing/records/review: Have you ensured throughout the process, from receiving initial queries/instructions through to completion of the matter, that there is an accurate and vouched record of all aspects of your instructions and your actions and engagements, and those records are easily accessible and corroborated?
- Dealings with third parties: Have all your professional obligations and undertakings to all parties and third parties (Revenue, local authorities, banks, mortgage holders, Department of Social Protection etc) been discharged fully, and a written receipt in respect of same received and recorded on your file?
- Communications with clients / Law Society /LSRA and post-completion matters: At all times, a solicitor must keep their client and their colleague(s) reasonably informed on a timely basis with relevant and appropriate information pertaining to the legal matter/file. Similarly, it is an obligation that the solicitor comply fully in a timely manner with any statutory requirements made of it by the Law Society of Ireland/LSRA. Solicitors must ensure that post-completion matters for a client are completed as soon as can reasonably be achieved.