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PROFESSIONAL CONDUCT AND REGULATION WORKSHOP 1 - Legal Foundations: Chap 12, 13

Profession is regulated by govt and SRA.

DUTY OF CONFIDENTIALITY

extends to all info. about a client matter, regardless of source.

duty continues after retainer has been terminated (former clients, dead clients > their PRs

ALL members of a firm owe a DOC to ALL clients of the firm (?)

Solicitors MUST safeguard identity of clients

Where firm merge / solicitor leaves one firm and goes to another = confidentiality issues

WHEN CONFIDENTIAL INFO. CAN BE DISCLOSED

Pursuant to:

statutory requirement

statutory duty

under a court order

If solicitor is uncertain > Professional Ethics Team

CONFIDENTIAL INFO RECEIVED BY MISTAKE

Ablitt v Mills & Reeve - receiving solicitor must return the papers to the originating solicitor without reading them or making use of info.

Any breach of confidentiality = breach of professional conduct. Client may sue.

DUTY OF DISCLOSURE

Any individual within a firm who is advising a client must make sure that client is aware of ALL material info. including personal knowledge [Outcome 4.2]

Limitations:

Client gives specific informed consent to non-disclosure / varies level of disclosure

Evidence that serious physical or mental injury will be caused if info. is disclosed to client

Legal restrictions prohibit solicitor from passing info. to client

Privileged documents have been mistakenly disclosed to the solicitor

Solicitor comes into possession of info. relating to State security or intelligence matters

Solicitors must not place themselves in a situation where any relevant information could be disclosed to another clientDUTY OF CONFIDENTIALITY OVERRIDES DUTY OF DISCLOSURE

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