Professional Responsibility - Contents

Professional Responsibility – Contents 1.

court conduct a. salient legislation: i. rules 54 and 55(a) PCR ii. rule 47 PCR iii. rule 61 PCR iv. 33 PCR v. Re Kumaraendran [1975] 2 MLJ 45 vi. Public Prosecutor v Seeralan [1985] 2 MLJ 30 vii. Ram Goswami v Public Prosecutor [1985] 1 MLJ 113 viii. Attorney General v Arthur Lee Meng Kuang [1987] 1 MLJ 206 ix. Re Tan Khee Eng John [1997] 3 SLR 382

2.

Legal Profession (Solicitors’ Accounts) Rules a. General principles b. Exceptions c. Object of rules d. Responsibility e. Client account; client’s money – rule 2 SAR; stakeholder money f. rule 6 SAR g. payment into client account – rule 3, 9; vol and other payments into client acct – rule 4 h. withdrawal - rule 7 i. cases j. rule 8 k. withholding client’s money fr client’s account – rule 9 l. client’s money held outside client’s account m. transfers between clients – rule 10 n. books of account – rule 11 SAR; rule 19 PCR i. supervision of client accts ii. LPA rules governing iii. Reconciliation statements iv. Computerized records v. Authority for withdrawal vi. Safeguards vii. Compliance with rules – power of law soc to inspect accounts o. Accountants report rules; examination i. Where report unnec ii. Resp for delievery of accountant’s report p. Client’s confidentiality q. Trivial breaches r. Deposit interest rules s. S67.1.B Income tax act t. Imposition of conditions u. Cancellation of practising certs v. Discip proceedings w. Law soc’s recommendations x. Anti money laundering i. identity checks ii. letters of engagement iii. keeping records

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professional conduct rules

a. b. c.

d. e.

f. g. h. i. j. 4.

General principles - rule 2(2) Outline of rules’ sources Pyramid of responsibility PC Rules - cl codification Part 1 i. General – 2(2) and cases ii. To whom applies iii. Effect of PDs and law soc rulings iv. Defns Part 2 – practice Egs of unsatisfactory quality of service Remedies available to council Rr between inadeq services, negligence and professional misconduct New provisions which prevail over PDs

relationship with clients a. retainer - Obtaining and Acceptance of Instructions i. acceptance ii. warrant to act iii. checking authority iv. refusal of retainer v. third parties out of scope of retainer vi. implied retainer vii. change of status viii. retainers by particular persons ix. challenging retainer x. terms of contract – scope of auth xi. duration of contract xii. authority of solicitor b. inadequate Professional Services i. PCR 12-53A ii. Complaints procedure c. Duty to Act in the Client’s Interest i. cl principles ii. secret profit iii. personal rr with client d. Duty of Confidentiality i. s24 LPA and 128 EA ii. 2 or more clients iii. scope of privilege under three rivers iv. common interest privilege v. common probs – jt retainer/ amalgamation of firms/ acting against former client vi. waiver vii. general scope – what is not privileged viii. application to law corporations e. client’s Perjury f. rules Against Borrowing g. purchases and Gifts from Client h. contingency fees and gross overcharging i. remuneration i. income and GST j. Tendering Advice for an Illegal Purpose k. Termination of retainer

i. lien Withdrawal from a retainer by a lawyer m. Liability to client

l.

5.

Conflict of interest a. Cl principles b. Fiduciary relationship c. Types of conflict i. Establishment of relationship ii. Personal 1. types: a. interest in matter/ informed consent b. personal convictions c. sales transactions d. borrowing transactions e. sexual relationship f. gifts 2. =>> disclosure: when can and when cannot 3. revocation of transaction iii. Professional 1. disclosure of info a. opposing parties in 1 case b. former client c. joining new firm d. new law and local law 2. clients’ conflicting interests a. acting for opp parties i. eng cases ii. local law b. s79 c. actual vs potential conflict d. acting against former client e. Chinese walls exception f. Acting against clients in disputes g. witness 3. Rule 30 –unrepresented party 4. Fees chargeable in conflict sitn d. Withdrawal of retainer e. Public interest f. Locum solicitors – conflict of interest

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relationship with other lawyers and third parties a. other solicitors i. R47 PCR ii. Sharing of fees iii. Other solicitor’s client iv. Second opinions v. Taking over brief vi. Professional undertaking vii. Responsibility for fees viii. Communication with other solicitors ix. Private comm with court x. Entering judgement by default b. Third parties i. Not to act against client’s interests

c. d.

ii. S53A unfair advantage Statements to press Letters of demand

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disciplinary proceedings a. section 82 i. purpose of discip action b. burden of proof c. double jeopardy rule i. order to show cause d. legal officers and solicitors without practising certs- S82A e. section 83 LPA i. applicable to ii. sanctions iii. 11 grds of due cause iv. scope v. principles applied f. issues on proceedings i. mitigation ii. past conduct iii. conviction for crim offence g. machinery/ procedure i. complaint ii. review committee iii. inquiry committee – investigative only 1. notice to solicitor; no right to be heard 2. penalty possible; notice 3. report iv. discip committee 1. quorum 2. rule against bias v. order to show cause/ court of three judges h. variations to procedure i. s94 i. reinstatement i. s102 LPA j. amendments i. to LPA ii. against inadeq professional services iii. note application to JLVs and foreign firms k. misc i. adverse orders ii. no action in bad faith

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sol’s liability a. officer of court b. contempt of court c. undertaking d. liability for costs e. liability for loss f. liability of law corporations and their employees g. application to foreign firms and JLVs

9.