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Review of the Australian Solicitors' Conduct Rules

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Review of the Australian Solicitors' Conduct Rules Law Council of Australia Review of the Australian Solicitors’ Conduct Rules 1 February 2018 LAW COUNCIL OF AUSTRALIA DEFENCE RESERVE SERVICE AND DEFENCE SPOUSES LEAVE POLICY 1 Law Council of Australia GPO Box 1989, Canberra, ACT 2601 19 Torrens Street, Braddon, ACT 2612 (02) 6246 3788 © Law Council of Australia 2018 Contents PART A BACKGROUND ................................................................................................................................. 4 Purpose of this Paper .................................................................................................................................. 4 About the Professional Ethics Committee ................................................................................................... 5 Context – Australian Solicitors’ Conduct Rules ........................................................................................... 5 Context – How are the Rules made and what gives them binding force? .................................................. 6 Context – Commentary to the Australian Solicitors’ Conduct Rules ......................................................... 10 Context – Relationship to legislation ......................................................................................................... 10 Principles to be applied ............................................................................................................................. 11 Stylistic matters ......................................................................................................................................... 12 PART B ISSUES AND CONSIDERATIONS ...................................................................................................... 13 NATURE AND PURPOSE OF THE RULES ..................................................................................................... 14 Rule 1 (Application and interpretation)............................................................................................ 14 Rule 2 (Purpose and effect of the rules) ........................................................................................... 19 FUNDAMENTAL DUTIES OF SOLICITORS .................................................................................................... 22 Rule 3 (Paramount duty to the court and the administration of justice) ......................................... 22 Rule 4 (Other fundamental ethical duties) ....................................................................................... 23 Rule 5 (Dishonest and disreputable conduct) .................................................................................. 26 Rule 6 (Undertakings) ....................................................................................................................... 29 RELATIONS WITH CLIENTS ......................................................................................................................... 33 Rule 7 (Communication of advice) ................................................................................................... 33 Rule 8 (Client instructions) ............................................................................................................... 35 Rule 9 (Confidentiality) ..................................................................................................................... 41 Rule 10 (Conflicts concerning former clients) .................................................................................... 50 Rule 11 (Conflict of duties concerning current clients) ...................................................................... 64 Rule 12 (Conflict concerning a solicitor’s own interests) ................................................................... 70 Rule 13 (Completion or termination of engagement) ........................................................................ 75 Rule 14 (Client documents) ................................................................................................................ 77 Rule 15 (Lien over essential documents) ............................................................................................ 80 Rule 16 (Charging for document storage) .......................................................................................... 83 ADVOCACY AND LITIGATION ..................................................................................................................... 85 Rule 17 (Independence – Avoidance of personal bias) ...................................................................... 86 Rule 18 (Formality before the court) .................................................................................................. 89 Rule 19 (Frankness in court) ............................................................................................................... 90 Rule 20 (Delinquent or guilty clients) ................................................................................................. 95 Rule 21 (Responsible use of court process and privilege) ................................................................ 100 Page 2 Rule 22 (Communication with opponents) ...................................................................................... 109 Rule 23 (Opposition access to witnesses) ........................................................................................ 115 Rule 24 (Integrity of evidence – influencing evidence) .................................................................... 116 Rule 25 (Integrity of evidence – two witnesses together) ............................................................... 117 Rule 26 (Communication with witnesses under cross-examination) ............................................... 118 Rule 27 (Solicitor as material witness in client’s case) ..................................................................... 119 Rule 28 (Public comment during current proceedings).................................................................... 122 Rule 29 (Prosecutor’s duties)............................................................................................................ 124 RELATIONS WITH OTHER PERSONS ......................................................................................................... 133 Rule 30 (Another solicitor’s or other person’s error) ....................................................................... 133 Rule 31 (Inadvertent disclosure) ...................................................................................................... 136 Rule 32 (Unfounded allegations) ...................................................................................................... 138 Rule 33 (Communication with another solicitor’s client) ................................................................. 139 Rule 34 (Dealing with other persons) ............................................................................................... 142 Rule 35 (Contracting with third parties) ........................................................................................... 146 LAW PRACTICE MANAGEMENT ............................................................................................................... 147 Rule 36 (Advertising) ........................................................................................................................ 147 Rule 37 (Supervision of legal services) ............................................................................................. 148 Rule 38 (Returning judicial officers) ................................................................................................. 149 Rule 39 (Sharing premises) ............................................................................................................... 151 Rule 40 (Sharing receipts) ................................................................................................................. 154 Rule 41 (Mortgage financing and managed investments) ............................................................... 156 Rule 42 (Anti-discrimination and harassment) ................................................................................. 157 Rule 43 (Dealing with the regulatory authority)............................................................................... 159 Glossary (Terms used in these Rules) ................................................................................................. 160 Definition of court ................................................................................................................................... 167 Definition of solicitor ............................................................................................................................... 168 Definition of workplace bullying .............................................................................................................. 170 PART C SUGGESTIONS RECEIVED FOR NEW RULES ................................................................................. 171 Disclosure of insurer ................................................................................................................................ 171 Claiming costs in letters of demand ........................................................................................................ 172 Transfer of practice ................................................................................................................................. 173 Personal relationships with clients .........................................................................................................
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