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E-grāmata: Lawyers Ethics and Professional Responsibility

(City, University of London, UK)
  • Formāts: 464 pages
  • Izdošanas datums: 27-Aug-2015
  • Izdevniecība: Hart Publishing
  • Valoda: eng
  • ISBN-13: 9781509901807
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  • Formāts: 464 pages
  • Izdošanas datums: 27-Aug-2015
  • Izdevniecība: Hart Publishing
  • Valoda: eng
  • ISBN-13: 9781509901807
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This book aims to produce lawyers who can debate, criticise and change professional ethics as well as understand their underlying rationale. Written by the author of the leading work on the subject, The Ethics and Conduct of Lawyers in England and Wales, this book is aimed at the undergraduate or postgraduate student taking a half or full course in the subject. The book is divided into four parts dealing with the professional and regulatory framework for delivering legal services, the obligations owed to clients, wider duties and responsibilities and practice settings. It sets out the important background to the modern practice of law, and explains the theoretical underpinning of professional ethics and its everyday application through conduct rules and principles. Extracts from legislation, cases and conduct rules are provided, and comparative issues are considered where relevant. The book is also interactive, raising issues and posing questions that will encourage students to engage with the material as they read, which will also be helpful for classroom discussion.
Preface vii
Table of Cases xxi
Table of Legislation xxv
Part I: Systems 1(102)
1 Roles and Values
3(34)
Introduction
3(1)
What Are Lawyers' Ethics?
3(1)
Systems and Roles
4(11)
The Liberal State
4(2)
The Rule of Law
6(3)
Legal System
9(6)
Legal Traditions
9(6)
Legal Systems
15(2)
The Common Law
15(1)
The Adversarial System
16(1)
The Values of Different Dispute Resolution Systems
16(1)
Criticisms of the Adversarial System
16(1)
Alternative Systems
17(1)
Legal Roles
17(19)
The Judiciary
17(4)
Constitutional Role
17(2)
Procedural Role
19(1)
Judicial Ethics
19(2)
The Lawyers
21(4)
Lawyers and the Rule of Law
21(1)
Values of Lawyers in an Adversarial System
21(1)
The Ideology of Advocacy
22(1)
The Art of Advocacy
23(2)
Evolution of the Ideology of Advocacy in England and Wales
25(5)
Thomas Erskine and the Obligations of Fearless Advocacy
26(2)
The Fearless Advocacy of Henry Brougham
28(1)
The Association of Advocacy and Rights
29(1)
The Standard Conception of the Lawyer's Role
29(1)
Professionalism and Ethics
30(8)
Professional Values and Virtues
30(6)
Conclusion
36(1)
2 Institutions and Organisations
37(26)
Introduction
37(1)
Lawyers and Society
38(11)
The Importance of Theory
38(1)
Law and Lawyers
38(1)
Professions
39(10)
Theory of Professions
39(8)
Decline of Professionalism
47(1)
Alternatives to Professionalism
47(2)
Liberalised Legal Services Markets
49(7)
Professions in the Regulatory State
49(1)
The Market Economy
50(1)
Revolutions in Regulation
50(1)
England and Wales: The Legal Services Act 2007
51(4)
Regulatory Objectives of the Act
51(1)
The Three Main Measures for Effecting Change
52(1)
Separation of Representative and Regulatory Activities
52(2)
Creation of the Legal Services Board
54(1)
Authorisation of Alternative Business Structures
54(1)
Achieving the Regulatory Objectives of the Legal Services Act 2007
55(1)
The Professional Principles
55(1)
Promoting the Regulatory Objectives
55(1)
The Delivery of Legal Services
56(4)
Private Practice
56(2)
Organisational Forms
56(1)
Ethical Implications
57(1)
Employed Practice
58(1)
The Impact of the Legal Services Act 2007
58(2)
Alternative Business Structures
58(1)
The Impact of Technology
58(2)
The Contemporary Role and Significance of Professions
60(2)
Institutional Theories
60(1)
Character and Personality
60(1)
Promoting Social Change
61(1)
Reflexivity
61(1)
Building Social Capital
61(1)
Conclusion
62(1)
3 Regulation and Discipline
63(40)
Introduction
63(1)
Theories of Regulation
63(4)
Definition
63(1)
Regulation Types and Strategies
64(3)
Government Regulation
64(1)
Types of Self-regulation
64(1)
Mixed Regulation
65(2)
Choice of Regulatory System
67(1)
Regulation of the Legal Profession
67(2)
Self-regulation
67(1)
Regulation of the Right to Practice
68(1)
Preparation for Practice
69(6)
Socialisation into Professional Values
69(6)
Regulation of Professional Behaviour
75(2)
Early Systems of Control
75(1)
Mixed Regulatory Controls
76(1)
Professional Controls
76(1)
Forum Controls
76(1)
Legislative Controls
77(1)
Liability Controls
77(1)
Ethical Standards and Decision-Making
77(8)
Codes of Conduct
77(1)
The Usefulness of Codes in Making Ethical Decisions
78(1)
Ethical Theories
78(6)
Deontology and Consequentialism
79(1)
Virtue Ethics
79(4)
Principlism
83(1)
Ethical Discretion
84(1)
Disciplinary Processes
85(5)
Status
85(1)
Purpose
86(1)
Process
86(1)
Sanctions
87(2)
Inspection and Intervention
89(1)
The Legal Services Act 2007
90(7)
Background to the Act
90(1)
Regulatory Structure
91(1)
Regulatory Philosophy
92(1)
Best Regulatory Practice
92(1)
Regulatory Method
92(14)
Principles-Based Regulation
92(2)
Entity Regulation
94(1)
Administrative Sanctions
94(1)
Outcomes-Focused Regulation
95(2)
The Shift in Professional Regulation: An Overview
97(4)
Conclusion
101(2)
Part II: Clients 103(98)
4 The Relationship
105(34)
Introduction
105(1)
Foundations of the Lawyer—Client Relationship
106(1)
Legal Basis
106(1)
The Lawyer's Obligations
107(5)
Loyalty
107(1)
Competence
108(1)
Diligence
109(1)
Service
110(2)
Theory of the Lawyer—Client Relationship
112(2)
The Standard Conception of the Lawyer's Role
112(2)
The Principle of Neutrality
112(1)
The Principle of Partisanship
112(1)
The Principle of Non-Accountability
113(1)
Formation of the Lawyer—Client Relationship
114(5)
Neutrality in the Codes
116(3)
Banisters
116(2)
Solicitors
118(1)
The Nature of the Lawyer—Client Relationship
119(3)
Models of Professional Relationship
119(3)
Partisanship
122(1)
Interpreting the Obligation of Partisanship
122(1)
The Representative Obligation
123(3)
Partisanship in Law
123(1)
Partisanship in the Codes of Lawyers
124(1)
Partisanship in Practice
125(1)
The Limits of Loyalty
126(8)
Who's in Charge?
126(1)
Four Situations at the Ethical Margins
127(6)
Representing the Guilty
127(2)
Advising on Illegality
129(2)
Facilitating Illegality
131(1)
Participating in Client's Perceived Immorality
131(2)
A Theory of Client Loyalty
133(1)
Evaluation
134(3)
Critique of the Standard Conception
134(1)
Justification of the Standard Conception
135(1)
Standard Conception or Misconception?
135(1)
Alternatives to the Standard Conception
136(1)
Conclusion
137(2)
5 Conflicts of Interest
139(30)
The Scope and Impact of Conflict of Interest Rules
139(2)
Context
139(2)
Lawyer and Client Conflicts of Interest
141(18)
Background
141(1)
Avoidable Conflict Situations
142(7)
Divided Loyalty
142(1)
Publishing
142(1)
Gifts and Financial Benefits
142(1)
Holding an Office Creating a Risk of Conflict
143(1)
Business Ventures
143(2)
Personal Relationships with Clients
145(1)
Claims and Complaints
146(1)
Commissions, Introductions and Referrals
146(3)
Unavoidable Conflict Situations
149(6)
Charging Fees
149(1)
Costs
149(1)
Methods of Determining Fees
150(3)
Ethical Considerations in the Methods of Determining Fees Compared
153(2)
The Long-Term Trend
155(1)
Regulation
155(4)
Clients with Conflicting Interests
159(7)
Context
159(1)
Regulatory Approach
160(1)
Same Matter Conflicts of Interest
160(1)
Litigation
160(1)
Transactions
161(1)
The 'Substantial Common Interest' Exception and 'Competing for the Same Objective' Exception
162(2)
Systems for Detecting Conflicts of Interest
164(2)
Conflict of Interests between Clients in Different Matters
166(2)
Conclusion
168(1)
6 Confidentiality and Privilege
169(32)
Theory of Client Confidence
169(8)
Professionals and Confidences
169(1)
The General Position at Common Law
170(1)
Lawyer and Client Confidences
171(1)
The Absolute Nature of Client and Lawyer Confidences
171(1)
Rationale for Protecting Client Confidences
172(4)
Practical Rationale
172(1)
Professional Rationale
172(1)
System Rationale
173(1)
Client Autonomy
174(2)
Rationale for Limiting Confidentiality
176(1)
Declining Adversarial Ethos in Civil Litigation
176(1)
Lawyer Self-Interest
176(1)
The Public Interest
177(1)
Legal Professional Privilege
177(6)
Context
177(1)
Definition
178(1)
Legal Advice Privilege
178(5)
Litigation Privilege
180(1)
Exceptions to LPP
180(2)
Communications and Items Enclosed with or Referred to in Privileged Communications
182(1)
Who Is a Lawyer for the Purpose of Legal Professional Privilege?
182(1)
Confidentiality and Legal Professional Privilege
183(6)
Similarities
183(1)
Differences
184(4)
Confidentiality and Litigation Privilege
188(1)
The Limitations of LPP
188(1)
A Critique of LPP
189(1)
The Regulatory Regime on Confidentiality
189(10)
Confidentiality in the Solicitors' Codes of Conduct
189(1)
Breach of Confidence Required by Law
189(1)
Breach of Confidence Permitted by Law
190(1)
Client Consent to Disclosure
191(1)
The Confidentiality of Past Clients and the Duty of Disclosure to Present Clients
191(5)
General Exceptions to the Duty of Disclosure
191(2)
Information Barriers Securing the Confidentiality of Past Clients
193(2)
The Limitations of Information Barriers
195(1)
Confidentiality in the Barristers' Codes of Conduct
196(3)
Conclusion
199(2)
Part III: Others 201(96)
7 Third Parties (Non-Clients)
203(30)
Introduction
203(1)
Theory of Lawyer—Third Party Relationships
204(1)
Mechanisms for Controlling Behaviour towards Third Parties
205(1)
Liability Controls
205(4)
Liability as a Kind of Regulation
205(1)
Accepted Obligations
206(1)
Imposed Obligations
206(3)
Negligence Liability
206(3)
Forum Controls
209(12)
Judicial Control of Litigation Conduct
210(1)
Wasted Costs Orders
210(11)
The Three-Stage Test
212(2)
Witnesses
214(5)
The Limits of Forum Controls
219(2)
Other Third Parties Affected by Proceedings
221(1)
Conduct Controls
221(4)
Third Party Obligations in the Codes
222(3)
General Obligation of Fairness?
225(1)
Etiquette
225(6)
Conclusion
231(2)
8 Social Responsibility
233(30)
Lawyers' Duty to the Public Interest
234(1)
Engaging in Criminal Purposes
235(1)
Context
235(1)
Primary Offences
236(1)
Reporting Requirements
236(2)
Legal Professional Privilege
238(14)
Context
238(1)
The Illegality Exception to Legal Professional Privilege
239(10)
Communications Aimed at Furthering a Criminal Purpose
239(1)
Requirements for Overriding Legal Advice Privilege
239(3)
Items Held with the Intent of Furthering a Criminal Purpose
242(2)
Accidental Disclosure of Privileged Material
244(1)
Overriding Litigation Privilege
245(4)
Summary and Overview
249(1)
The Public Service Dimension of the LPP Exception for Iniquity
249(3)
Should Lawyers Be Under a Duty to Act in the Public Interest?
252(9)
The Issues
252(1)
A Duty to Act in the Public Interest?
253(12)
Enron Corporation
253(1)
The Sarbanes—Oxley Act (US)
253(5)
Lehman Brothers Holdings Inc
258(3)
Conclusion
261(2)
9 Professional Responsibility
263(34)
The Public Profession of Law
264(1)
Professional Commitments
265(15)
The Social Importance of Professions
265(15)
Responsibility for the Intellectual Discipline
266(1)
Responsibility for the Competence and Socialisation of Practitioners
267(5)
Responsibility for Maintaining an Ethical Professional - Community
272(5)
Responsibility for Promoting Appropriate Professional Relationships between Practitioners
277(1)
Preserving Professional Reputation
277(1)
Supporting and Defending the Rule of Law
278(2)
Public Agendas
280(15)
Supporting Access to Justice
281(10)
Pro Bono Publico
283(7)
Promoting Diversity
290(1)
Policies of Professional Bodies
291(2)
Professional Policy
291(1)
Admission
291(1)
Availability of Training
291(2)
Reform of Training
293(2)
The Weakening of Professional Responsibility?
295(1)
The Decline of Professionalism
295(1)
Conclusion
296(1)
Part IV: Practice Contexts 297(116)
10 Litigation and Advocacy
299(44)
The Adversarial System
300(1)
Ethos
300(1)
Structures
300(1)
Lawyers' Jurisdiction in Litigation and Advocacy
301(9)
Context
301(1)
The Need for Specialist Advocates
302(2)
The Case for Specialist Advocacy Services
302(1)
The Case for Competition in the Provision of Advocacy Services
302(2)
The Extension of Rights of Audience
304(1)
Impact of the Changes
305(1)
The Legal Services Act 2007
305(1)
The Quality of Advocacy
306(4)
Criminal Litigation
310(1)
Civil Litigation
311(4)
Context
311(1)
Litigation Framework
311(1)
Strategic Constraints and Possibilities
312(7)
Time and Cost
312(1)
Parties
313(1)
Lawyers
314(1)
Litigation Strategy
314(1)
The Civil Procedure Rules and the Overriding Objective
315(4)
Practice in Civil Litigation
319(5)
Context
319(1)
Personal Injury
319(5)
The Pre-CPR Ethos of Personal Injury Litigation
319(3)
Personal Injury Litigation since the Introduction of the CPR
322(1)
The Post-CPR Ethos of Personal Injury Practitioners
323(1)
Summary and Overview
324(1)
Controlling Litigation Behaviour
324(16)
Forum Controls
324(6)
Conducting Cases Expeditiously
324(1)
Avoiding Abuse of Process
325(3)
Duties of Disclosure
328(2)
A Duty to the Administration of Justice
330(1)
Conduct Controls
330(10)
Conclusion
340(3)
11 Settlement
343(34)
Negotiation in Contentious Matters
344(7)
Context
344(1)
Negotiation Theory
344(7)
Problem Types
344(2)
Factors Affecting Settlement Outcomes
346(5)
Civil Practice
351(7)
Evaluating Negotiation Outcomes
351(1)
Variations in Practice According to Areas of Work
351(6)
Personal Injury
351(2)
Family
353(4)
Summary and Overview
357(1)
Defining a Common Negotiation Culture
357(1)
Regulating Negotiation Conduct
358(2)
Acting in the Best Interests of Clients
358(1)
Acting Fairly towards Third Parties
359(1)
Alternative Dispute Resolution
360(5)
Methods
360(1)
Context
361(1)
The Meta-Ethics of ADR and Adversarial Processes
361(4)
Individual Ethics
362(1)
Public and Private Provision of ADR
363(2)
Mediation
365(6)
Processes
365(1)
Application
366(1)
Lawyers and Mediation
367(3)
Advantages of Lawyers' Involvement
368(1)
Criticisms of Lawyers' Involvement in ADR
368(1)
Reconciling Adversarial and Conciliatory Roles
369(1)
Lawyers and Mediation: An Overview
370(1)
Professional Regulation of ADR
371(4)
Education and Training
371(1)
Conduct Rules
372(3)
Conclusion
375(2)
12 Commercial Practice
377(36)
Overview
377(1)
Transactions
378(7)
Context
378(1)
Application of General Principles
378(1)
Legal Professional Privilege
378(1)
Negotiation
379(3)
Methods
379(1)
Negotiation Privilege
380(2)
Undertakings
382(3)
Ordering Performance and Awarding Compensation
385(1)
International Legal Work
385(4)
Domestic Regulation of Overseas Lawyers Coming to England and Wales
385(2)
Registered European Lawyers
385(1)
Registered Foreign Lawyers
386(1)
Admission of Overseas Lawyers
387(1)
Lawyers from England and Wales Practising Overseas
387(2)
England and Wales as Part of a Global Network
389(3)
The International Legal Services Market
389(1)
Globalisation and International Legal Institutions
390(1)
London as a World Centre for Legal Services
391(1)
The Practice of International Law
392(7)
International Law Firms
392(2)
Firm Culture
393(1)
International Legal Work
394(5)
Transactions
394(1)
Disputes
394(3)
Local Regulation
397(1)
'Double Deontology'
397(2)
The Global Legal Profession
399(11)
Local Law
399(1)
Local Regulation as a Barrier to Global Practice
399(1)
The Professional Project of International Lawyers
400(1)
Harmonisation of Legal Professional Ethics
400(7)
Council of the Bars and Law Societies of Europe
400(5)
The International Bar Association
405(2)
The Significance of the International Codes and Principles
407(2)
Progressive Agendas for the Internationalisation Project
409(1)
Conclusion
410(3)
Index 413
Andrew Boon is Professor of Law at The City Law School, City University London.