THE LAW SOCIETY OF HONG KONG
The Law Society's Code of Advocacy for Solicitor Advocates
Professional Ethics
Contents:
PART I - Introduction.
PART II - Fundamental principles.
PART III - Organisation of the Solicitor Advocate's practice
PART IV - The decision to appear.
PART V - Withdrawal from a case.
PART VI - Conduct of work: the client.
PART VII - Conduct of work: the court.
PART VIII - Communications with clients.
Annex 1
The Law Society's Code for Advocacy for Solicitor Advocates
PART I - Introduction
1.1 For the purpose of maintaining the proper administration of justice this Code sets out the principles and standards to be observed by all solicitor advocates when acting as such. These obligations are in addition to and do not replace those imposed by law or required by other Law Society rules, and the Hong Kong Solicitors' Guide to Professional Conduct.
1.2 In this Code except where otherwise indicated: "LPO" means the Legal Practitioners Ordinance and where the context permits includes any orders or regulations made pursuant to powers conferred thereby: "brief" means instructions to an advocate to appear in person at or before a court "client" means the lay client and also (in the case of an advocate with a professional intermediary) the professional client and where the context permits includes a prospective client; "court" means Court of First Instance, Court of Appeal and the Court of Final Appeal. "Solicitor Advocate" means a person who has higher rights of audience under Part IIIB of the LPO; the singular includes the plural and the plural includes the singular.
PART II - Fundamental principles
2.1 Solicitor Advocates must not: (a) engage in conduct whether in pursuit of their profession or otherwise which is: (i) dishonest or otherwise discreditable to a Solicitor Advocate, barrister or solicitor, (ii) prejudicial to the administration of justice; or (iii) likely to diminish public confidence in the legal profession or the administration of justice or otherwise bring the legal profession into disrepute, (b) engage directly or indirectly in any occupation if their association with that occupation may adversely affect the reputation of Solicitor Advocate or prejudice their ability to attend properly to the interests of clients.
2.2 Solicitor Advocates have an overriding duty to the court to ensure in the public interest the proper administration of justice is achieved: they must assist the court in the administration of justice and must not deceive or knowingly or recklessly mislead the court.
2.3 Solicitor Advocates: (a) must promote and protect fearlessly and by all proper and lawful means the clients' best interests and do so without regard to their own interests or to any consequences to themselves or to any other person (including professional clients or fellow advocates or members of the legal profession); (b) subject only to compliance with specific provisions of the Legal Aid Regulations and to their overriding duty to the court owe their primary duty: (i) as between their lay client and their professional client; and (ii) as between the legal aid authorities and the lay client. to the lay client and must not permit the legal aid authorities or professional clients to limit their discretion as to how the interests of the lay client can best be served; (c) must act towards clients at all times in good faith.
2.4.1 Solicitor Advocates must not in relation to any other person (including a client or another advocate) on grounds of race, ethnic origin, gender, religion, sexual orientation or political persuasion treat that person for any purpose less favourably than they would treat other persons.
2.4.2 Solicitor Advocates must not decline to accept instructions to act as such: (a) on grounds relating to the race, colour, ethnic or national origins, creed, gender or sexual orientation of the client; (b) on the grounds that the nature of the case is objectionable to the Solicitor Advocate or to any section of the public; (c) on the grounds that the conduct, opinions or beliefs of the client are unacceptable to the Solicitor Advocate or to any section of the public; (d) on any ground relating to the source of any financial support which may properly and lawfully be given to the client for the proceedings in question (for example on the grounds that such support will be available under the Legal Aid Ordinance (Cap. 91)).
2.5 Nothing in this Code is to be taken as requiring a Solicitor Advocate to accept instructions if there are reasonable grounds for the Solicitor Advocate to consider that having regard to: (i) the circumstances of the case; (ii) the nature of the Solicitor Advocate's practice; or (iii) the Solicitor Advocate's experience and standing the Solicitor Advocate is not being offered a proper fee.
2.6 Solicitor Advocates must not: (a) permit their absolute independence and freedom from external pressures to be compromised; (b) do anything (for example accept a present) in such circumstances as may lead to any inference that their independence may be compromised; (c) compromise their professional standards in order to please their clients, the court or a third party.
2.7 Solicitor Advocates are individually and personally responsible for their own conduct and for professional work: they must exercise their own personal judgment in all their professional activities and must not delegate such responsibility to another advocate.
PART III - Organisation of the Solicitor Advocate's practice
3.1 Solicitor Advocates must have or have ready access to library facilities which are adequate having regard to the nature of their practice.
3.2 Solicitor Advocates must take all steps which it is reasonable in the circumstances to take to ensure that: (a) their practices are administered competently and efficiently and properly staffed having regard to the nature of the practice; (b) proper records are kept; (c) all employees and staff in the practice: (i) carry out their duties in a correct and efficient manner; and (ii) are made clearly aware of such provisions of this Code as may affect or be relevant to the performance of their duties.
3.3 Solicitor Advocates may engage in any advertising or promotion in connection with their practice which conforms to the Solicitors' Practice Promotion Code.
PART IV - The decision to appear
4.1 Solicitor Advocates must not accept any brief if to do so would cause them to be professionally embarrassed and for this purpose Solicitor Advocates will be professionally embarrassed: (a) in the case of extended rights of audience in the higher courts, if they do not hold the appropriate qualification and are not competent to appear before the relevant court; (b) if they lack sufficient experience or competence to handle the matter, or if their experience of advocacy in the relevant court or proceedings has been so infrequent or so remote in time as to prejudice their competence; (c) if having regard to their other professional commitments they will be unable to do or will not have adequate time and opportunity to prepare that which they are required to do; (d) if the brief seeks to limit the ordinary authority of discretion of a Solicitor Advocate in the conduct of proceedings in court or to impose on a Solicitor Advocate an obligation to act otherwise than in conformity with the provisions of this Code; (e) if the matter is one in which they have reason to believe that they are likely to be witnesses or in which, whether by reason of any connection of the Solicitor Advocate (or of any partner or other associate of the Solicitor Advocate) with the client or with the court or a member of it or otherwise, it will be difficult for them to maintain professional independence or the administration of justice might be or appear to be prejudiced; (f) if they have been responsible for deciding on a course of action and the legality of that action is in dispute in the proceedings; if they are company directors and the company is a party to or has an interest in the proceedings; (g) if there is or appears to be some conflict or a significant risk of some conflict either between the interests of the Solicitor Advocate (or of any partner or other associate of the Solicitor Advocate) and the client, some other person, or between the interests of any one or more of their clients. Examples of the operation of this rule are given in Annex 1; (h) if the matter is one in which there is a risk of a breach of confidences entrusted to them (or to any partner or other associate) by another client or where the knowledge which they possess of the affairs of another client would give an undue advantage to or might prejudice the new client.
4.2 Solicitor Advocates (whether they are instructed on their own or with another advocate) must in the case of each brief consider whether consistently with the proper administration of justice and having regard to: (i) the circumstances including the gravity, complexity and likely cost of the case; (ii) the nature of their practice; (iii) their ability, experience and seniority; (iv) their relationship with the client; (v) any other relevant circumstances or matters the best interests of the client would be served by instructing or continuing to instruct them in that matter or to instruct another advocate (whether solicitor advocate or counsel).
