CILEX Code of Conduct Flashcards

CILEX Code of Conduct

Introduction

The CILEX Code of Conduct (the Code) applies to CILEX members, practitioners, and authorized entities.

  • It establishes principles for conduct, practice, and professional performance.
  • Membership and regulated practice involve privileges and responsibilities.
  • Professionals must:
    • Develop and use professional knowledge and skills for the benefit of service users.
    • Maintain good professional relationships.
    • Promote confidence and trust in the legal profession.

Core Principles

The core principles guide work and decisions and inform the public about expected standards.

  1. Uphold the rule of law and impartial administration of justice.
  2. Maintain high standards of professional and personal conduct: Justify public trust.
  3. Behave with honesty and integrity.
  4. Comply with legal and regulatory obligations: Cooperate with regulators and ombudsmen.
  5. Act competently in the client's best interests: Respect client confidentiality.
  6. Treat everyone fairly and without prejudice.
  7. Ensure your independence is not compromised.
  8. Act effectively with proper governance and sound financial and risk management.
  9. Protect client money and assets.

Application of the Code

  • Compliance is required and judged against professional and personal conduct.
  • Breaches may lead to action.
  • Compliance is considered when questions arise about conduct, practice, or performance.
  • Guidance from CILEX Regulation is intended to clarify expectations.
  • Departures from guidance may require justification.

Definitions

  • "You" and "your" refer to CILEX members, practitioners, or authorized entities.

Detailed Breakdown of Core Principles and Outcomes

1. Uphold the Rule of Law and Impartial Administration of Justice
  • 1.1 Understand and comply with the duty to the court, obey court orders, and avoid contempt.
  • 1.2 Do not knowingly or recklessly mislead the court.
2. Maintain High Standards of Professional and Personal Conduct
  • 2.1 Inform clients of your professional status and regulatory authorization by CILEX Regulation; business communications must reflect this.
  • 2.2 Avoid conduct that undermines trust in you and the profession.
3. Behave with Honesty and Integrity
  • 3.1 Be honest in all dealings and financial matters.
  • 3.2 Do not intentionally mislead anyone.
  • 3.3 Report suspected breaches of the Code to CILEX Regulation, unless bound by legal professional privilege or client confidentiality.
  • 3.4 Report misconduct of others to the relevant authority, unless bound by legal professional privilege or client confidentiality.
  • 3.5 Do not misrepresent qualifications or professional status.
4. Comply with Legal and Regulatory Obligations
  • 4.1 Understand and comply with applicable laws and regulations.
  • 4.2 Demonstrate adherence to Core Principles and Outcomes.
  • 4.3 Do not cause others to breach regulatory requirements.
  • 4.4 Respond openly and promptly to regulators and ombudsmen.
5. Act Competently in the Client's Best Interests
  • 5.1 Maintain a high level of competence and current legal knowledge.
  • 5.2 Address knowledge deficiencies in yourself and staff.
  • 5.3 Act only on matters within your competence.
  • 5.4 Do not act in areas where you lack sufficient knowledge or experience.
  • 5.5 Act on client's instructions unless it breaches the law or the Code.
  • 5.6 Do not act without the right or authorization.
  • 5.7 Clearly explain service terms, including scope, payment, costs, outcomes, and timelines.
  • 5.8 Provide prompt, clear advice and keep clients informed.
  • 5.9 Inform clients of the complaints procedure, including the right to refer to the Legal Ombudsman or CILEX Regulation.
  • 5.10 Do not charge for handling complaints.
  • 5.11 Include a statement in terms of business that CILEX Regulation is the regulator and may access client papers unless the client objects.
  • 5.12 Maintain client confidentiality unless it conflicts with the law or Code, or the client authorizes disclosure.
6. Treat Everyone Fairly and Without Prejudice
  • 6.1 Ensure business practices:
    • Assist consumers and clients in accessing justice and legal services.
    • Provide equal opportunity for a favorable outcome, irrespective of vulnerability or susceptibility to discrimination.
7. Ensure Your Independence is Not Compromised
  • 7.1 Do not act where conflicts of interest exist or are likely.
  • 7.2 Do not act if clients are under duress or undue influence, unless withdrawal would harm their interests.
  • 7.3 Confirm third-party instructions with the client.
  • 7.4 Ensure commercial interests or financial arrangements do not affect impartiality.
8. Act Effectively with Proper Governance
  • 8.1 Maintain proper work standards and accurate, contemporaneous records.
  • 8.2 Supervise delegated tasks and remain accountable.
  • 8.3 Ensure those performing work are qualified and authorized.
  • 8.4 Supervise client matters and regularly check work quality.
  • 8.5 Adhere to effective management and reporting structures.
  • 8.6 Comply with procedures for legal and regulatory obligations.
9. Protect Client Money and Assets
  • 9.1 Identify, assess, manage, and address risks to client money and assets.
  • 9.2 Monitor the financial stability of the business to protect client money and assets.

Further Assistance

  • Contact CILEX Regulation for clarification on the Code: 01234 845770 or info@cilexregulation.org.uk