- Advanced/Intermediate * 3 hours CPD
This course provides an important reminder and update on the key provisions of the Solicitors Code of Conduct for lawyers from every discipline, particularly those with responsibilities for management and compliance. The provisions in Rule 2 for client care are fundamental and an understanding of the information with regard to costs has never been more important as a result of the recent decisions in Withers v. Mastercigars Direct and more recently Reynolds v. Stone Rowe Brewer. Complaints handling is fundamental to issues of reputational risk and the course will review the key provisions around supervision and management responsibilities which will be fundamental to any review of your firm's procedures by the SRA Monitoring Unit.
The course will also provide a review, with examples, of issues around conflict of interest, confidentiality and disclosure, as well as a reminder of Rule 6 and the provisions for equality and diversity and referral fees under Rule 9.
In summary, the course will review:
- The client relations rule and recent decisions which are of key importance in cost estimates
- Examples, reminders and an update in relation to conflict, disclosure and confidentiality
- The key issues to cover under Rule 5 in respect of supervision and management, including the assessment of risk generally as well as the assessment of risk and compliance with the documents required by the Money Laundering Regulations 2007
- A review of the key issues relevant to equality and diversity and the current provisions relating to referral fees