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

3. professional conduct rules

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

4. 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
l. Withdrawal from a retainer by a lawyer
m. Liability to client

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

6. 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
 ii. S53A unfair advantage
c. Statements to press
d. Letters of demand

7. 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

8. 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.