Professional Ethics Advocacy Coursework Assignment.

Part A:

The case of the client interview between Melissa Brown, Sara Thompson and their client
Natalie is extremely problematic in regard to professional and regulatory issues when
discussed within the context of the Solicitors Regulation Authority (SRA) 1. During the
encounter, Natalie, who is a criminal lawyer herself, makes some serious confessions.
These involve a tendency of using drugs habitually and misappropriating client money in
her firm as well as being blackmailed in a murder case where she is leading the
[Link] confessions could involve a number of requirements in the SRA Principles
and the codes of conduct of solicitors and law firms. Regulatory issue does not centre
merely on the misconduct on part of Natalie but also regarding whether the advice given
by Melissa and Sara effectively fulfills the obligations on solicitors care to safeguard the
rule of law, independence and upholding of reputation in the legal [Link]
regulatory advice given by the interviewer during the conversation is not firm but seems
to be prudent, although it is used with empathy and professionalism towards the
wellbeing of Natalie. The sufficiency of the response pursued by the solicitors should
thus be evaluated against a number of fundamental ethical obligations in terms of SRA.

The duty of solicitors to support the administration of justice and the rule of law is among
the key duties conferred on solicitors. This obligation can be seen in the SRA Principles
that mandate legal practitioners to behave in a way that facilitates the efficient operation
of the justice system and the integrity of the court proceedings.¹The case where Natalie
reveals that she is under pressure to get a client who is accused of committing a double
murder released poses a grave threat to the justice of criminal proceedings. The blackmail
she talks of is the threats of sending out to publish her drug use and financial malpractices
unless she disrupts the legal procedure. Any such effort to do so would be in direct
conflict with the overriding duty of a solicitor to the [Link] and Sara realize how
severe the case is and advise Natalie to call the police about the blackmail. This reaction
shows an anxiety of Natalie. Nevertheless, their counsel does not make any clear
reference to the fact that she should not tamper with criminal actions in progress in any
way. The greater and more direct mention of the obligation of the solicitor to the court
would have given more weight to the regulatory [Link] could be a lack of the
strong boundary-setting response that will lead to uncertainty about the professional
responsibilities of the solicitor. The solicitors should also take active steps to ensure that
their actions do not in any way compromise the administration of justice, but should not
pass passive or circumspect [Link] of public confidence in legal profession
is another basic principle under the SRA regulatory system. 2 The courts always
highlighted that the image of legal profession is of great social [Link]
1
Solicitors Regulation Authority, SRA Principles 2019 (SRA 2019)
2
Solicitors Regulation Authority, Code of Conduct for Solicitors, RELs and RFLs (SRA 2019)
acknowledges that she has been involved in chronic drug use and misappropriation of
client money in the limited liability company in which she is employed. Misusing the
client money is of special concern since it is the direct violation of the trust to the
solicitors by not only the clients but the [Link], Melissa and Sara are not directly
to blame with regards to Natalie in her misconduct 3, their reaction also carries a
significant role in the consideration of whether the ethical standards set forth by the
profession are met. They are supportive and understanding in the tone of their interview
and fail to elaborate on how grave the misappropriation of client funds is or the
disciplinary measures that could be imposed as a result of [Link] wise, not giving
special attention to the seriousness of such misconduct may create the impression that
serious ethical violation could be dealt with in an informal manner. To ensure that legal
services remain trusted, solicitors should ensure that any misconduct involving money of
a client or professional integrity is taken with the highest [Link] solicitors
assume a duty of confidentiality towards their clients, which is a crucial element of
solicitor client relationship but the extent of this is not absolute. Messages that are sent in
the promotion of crime do not enjoy the legal professional [Link] the meeting,
Melissa gives Natalie some general assurances that the conversation is confidential.
Though that kind of assurance is typical in the interviewing session with clients, the
presented explanation is too general. Taking into consideration that Natalie has confessed
her criminal behavior and that she participated in the possible interference with a murder
trial, the clarification of the opportunities of confidentiality could have been
[Link] to the case law, it is evident that communications related to a
continuing criminal act would not be entitled to privilege. ⁶ in a situation in which a
client reveals actions relating to a criminal offense, the solicitors must take care that the
client fully comprehends these legal [Link] to give proper explanations of
these limits can give a wrong understanding about the level of confidentiality. It should
not give an impression to clients that communication about on-going criminal activity is
safeguarded by the privilege of the profession.

The professional independence is critical in creating an objective and non-pressure-based

legal advice. The SRA Principles mandate solicitors to be independent and upright in the
advice they give to clients or in [Link] case of Natalie is cause to concern a lack of
integrity of independence. She is blackmailed and is pressurized to affect the results of a
murder. This sort of coercion inhibits the capacity of solicitor to make independent
professional [Link] and Sara realise that Natalie is experiencing significant
stress and suggests that she gets the help of the police. Nevertheless, their
recommendation does not fully examine the legal aspects of Natalie proceeding to act on
the case. When the integrity of the legal process is put at risk by her being coerced to
exercise her professional judgment, she may need to withdraw from [Link]
professional independence should be guaranteed not only in the interest of the solicitor
3
Solicitors Regulation Authority, Code of Conduct for Firms (SRA 2019).
but also in order to provide fairness in the judicial process. The justice system can be
compromised carelessly by a solicitor who acts under improper influence. 4Code of
Conduct of Firms holds the law firms liable to good governance systems and proper
redressing of wrong [Link] fact that Natalie admitted that she stole client funds in a
limited liability company causes issues to internal control and financial management. One
of the gravest types of professional misconduct is money misappropriation of clients, and
it is usually reported to the regulating [Link] compliance officer or management
structures at the firm do not seem to be the subject of discussion that Melissa and Sara are
having. Lack of this discussion can reflect lack of regard to the extended regulatory
obligations of the [Link] would take more than personal counseling to deal with
misconduct in a firm. It also needs institutional control and proper reporting processes to
make sure that the regulatory norms are maintained.

It is necessary that solicitors convey information to the clients in a way that is easy to
understand. This is especially relevant in situations where the client is facing a situation
with serious legal or ethical [Link] the interview, Melissa and Sara use the
supportive and relaxed style of communication. This can be used to make Natalie feel
free to talk about the situation. But in the process of providing reassurance clarity should
not be [Link] the gravity of the confessions made by Natalie, it would
have helped to explain her professional responsibility in greater detail and the legal
actions that could have been taken against her. Effective communication also makes sure
that the clients are well aware of the consequences of their actions as well as the choices
that they have. 5In the interview, a case of gross professional misconduct and severe
jeopardy to the integrity of the justice system can be observed. The confessions that
Natalie made about drug use, embezzlement of the clients money and blackmail in a
murder case pose significant regulatory [Link] and Sara are professional, caring
and being concerned with the personal safety of Natalie. The fact that they advise her to
take the case of blackmail to the police is a good indication of what can be done to deal
with the immediate danger that she has been exposed [Link] according to the SRA
regulatory framework, their recommendation does not possess the sternness and clarity it
should have when it comes to the severe ethical violations. The boundaries of
confidentiality are not well clarified, the obligation to court is not much highlighted and
the regulatory impact of a financial malpractice not fully [Link] weaknesses of
the regulatory guidance provided may be seen despite the fact that the breach of
professional duties of Melissa and Sara in particular is not evident in the interview.
Emphasis on professional commitments, delineation and regard on corporate-level duties
would have been a firmer reply in line with the ethical ethics of solicitors.

Part B:
4
Solicitors Regulation Authority ,Guidance on confidentiality and disclosure (SRA 2020)
5
Richard Susskind, Tomorrow’s Lawyers: An Introduction to Your Future (2nd edn, Oxford
University Press 2017).
When working on Part A of this assignment, I made a good attempt to follow a
systematic analytical methodology that relies on the regulatory system of solicitors in
England and Wales. The main aim was to analyze the behavior during the client
interview as dictated by Solicitors regulations Authority and not necessarily on a strictly
descriptive [Link] starting point of my research was to study the SRA Principles
and the appropriate Codes of Conduct of solicitors and law firmsA difficulty that I
experienced in the process of writing the draft was the question on the extent to which the
introduction needs to be filled with factual information. This also required giving a
background that was adequate to give a context to the admissions made by Natalie and
without being repetitive of the facts. 6I have also learnt in this assignment about the
practical roles of legal professionals. The ability to see how ethical concerns can be
incurred when interviewing clients demonstrates the need to give straightforward
guidance and be able to draw professional lines

Bibliography

Solicitors Regulation Authority, SRA Principles (2019).

Solicitors Regulation Authority, Code of Conduct for Solicitors, RELs and RFLs (2019).
6
Andrew Boon and Jennifer Levin, The Ethics and Conduct of Lawyers in England and Wales (3rd edn,
Hart Publishing 2015).
Solicitors Regulation Authority, Code of Conduct for Firms (2019).

Bolton v Law Society [1994] 1 WLR 512.

R v Cox and Railton (1884) 14 QBD 153.

Francis v Central Criminal Court [1989] AC 346.