EPR 9 - Ethics and Supervision of Paralegals
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Questions and Answers

What is the main purpose of Rule 13.6 of the Professional Conduct Rules?

  • To ensure paralegals are supervised during court appearances.
  • To regulate the publication of any material related to legal proceedings. (correct)
  • To prevent legal practitioners from hiring unauthorized persons.
  • To allow solicitors to enable practices in corporate law.

Why must legal practitioners inform their paralegal staff about Rule 13.6?

  • To avoid potential liability for their actions. (correct)
  • To limit their participation in litigation cases.
  • To ensure they understand how to file legal documents.
  • To prepare them for court advocacy roles.

Which of the following statements is correct regarding unauthorized persons under the Legal Profession Act?

  • Part B students can practice law independently.
  • An unauthorized person can hold legal opinions in court.
  • Only individuals with a Practicing Certificate are recognized as solicitors. (correct)
  • Practice trainees are always considered authorized to represent clients.

What actions are solicitors prohibited from enabling according to Section 77 of the Legal Profession Act?

<p>Permitting unauthorized persons to practice law. (A)</p> Signup and view all the answers

Which category of individuals is explicitly mentioned as unauthorized in the context of legal practices?

<p>Practice trainees who are not part-called. (A)</p> Signup and view all the answers

According to Section 33.1, what constitutes a criminal offense for unauthorized persons?

<p>Providing legal representation in court. (A)</p> Signup and view all the answers

In which areas aside from litigation or criminal matters are paralegals’ guidelines applicable?

<p>Any area of legal practice including corporate secretarial and intellectual property. (B)</p> Signup and view all the answers

What penalty may an unauthorized person face for their first offence under the Legal Profession Act?

<p>A fine not exceeding $25,000 or imprisonment not exceeding 6 months, or both (C)</p> Signup and view all the answers

Which of the following groups is excluded from the definition of an unauthorized person under the Legal Profession Act?

<p>The Attorney General (D)</p> Signup and view all the answers

What is the maximum fine for a body corporate for a subsequent offence under Section 33.1 of the Legal Profession Act?

<p>$50,000 (D)</p> Signup and view all the answers

In what situation do Sections 32 and 33 of the Legal Profession Act not apply?

<p>During arbitration proceedings (A)</p> Signup and view all the answers

Which of the following actions is permitted under the exceptions outlined by the Legal Profession Act?

<p>Mediators conducting mediation under a designated mediation service (C)</p> Signup and view all the answers

Under Section 34 of the Legal Profession Act, who is NOT considered an unauthorized person?

<p>The Public Trustee (B), The Official Assignee (C), An Assistant Director of Legal Aid (D)</p> Signup and view all the answers

What is the maximum imprisonment term for an unauthorized person upon a first conviction under the Legal Profession Act?

<p>6 months (B)</p> Signup and view all the answers

What does Section 35b of the Legal Profession Act specifically exclude?

<p>Mediation conducted by certified professionals (B)</p> Signup and view all the answers

Which of the following statements about the penalties for unauthorized practice is true?

<p>Both fines and imprisonment can be imposed for UNA authorized practice. (D)</p> Signup and view all the answers

What must a business entity not jeopardize for a legal practitioner to accept an executive appointment?

<p>The professional integrity, independence, or competence of the legal practitioner (B)</p> Signup and view all the answers

Which of the following statements about housing agents and solicitors is correct?

<p>The business of a housing agent is considered incompatible with that of a solicitor. (D)</p> Signup and view all the answers

What is a consequence for a solicitor who engages in a business that detracts from the profession of law?

<p>They may be struck off or suspended. (C)</p> Signup and view all the answers

What is a key condition regarding the description of the business entity for a legal practitioner to accept an executive appointment?

<p>It must not imply that the entity is a law practice. (D)</p> Signup and view all the answers

Which of the following is true regarding unauthorized persons within a solicitor's practice?

<p>The work done by unauthorized persons under a solicitor's name is considered a criminal offense. (C)</p> Signup and view all the answers

What consequence does a solicitor face for willfully enabling an unauthorised person to act in legal proceedings?

<p>Suspension from legal practice (C)</p> Signup and view all the answers

Under Section 36, what is the entitlement of an unauthorised person regarding costs incurred?

<p>They are not entitled to recover any costs (B)</p> Signup and view all the answers

What is the maximum fine an unauthorised person faces upon conviction for an offence related to practising law unlawfully?

<p>$50,000 (A)</p> Signup and view all the answers

What action must a solicitor avoid to comply with Practice Direction 3.11.2?

<p>Lending their name to documents prepared by unauthorised persons (B)</p> Signup and view all the answers

What does Section 35A of the Legal Profession Act permit the court to impose on unauthorised persons?

<p>Imprisonment or fines for unlawful practice (B)</p> Signup and view all the answers

What specific act is prohibited under Section 77 concerning solicitors and unauthorised persons?

<p>Acting as agents for unauthorised persons (A)</p> Signup and view all the answers

What consequence does a solicitor face for failing to exercise proper supervision over their staff?

<p>Disciplinary action including suspension (D)</p> Signup and view all the answers

Which section of the Legal Profession Act states that solicitors cannot permit their name to be used for the profit of unauthorised persons?

<p>Section 77 (B)</p> Signup and view all the answers

What specific punishment can the court impose on solicitors found to be in breach of Section 77?

<p>Disciplinary proceedings (C)</p> Signup and view all the answers

What does the term 'unauthorised person' refer to in the context of the Legal Profession Act?

<p>Any individual without an active legal license (C)</p> Signup and view all the answers

What was concluded about the solicitor's supervision over the clerk?

<p>The solicitor provided inadequate supervision. (C)</p> Signup and view all the answers

Which rule must a legal practitioner adhere to when describing their professional title?

<p>Rule 33 of the Professional Conduct Rules (A)</p> Signup and view all the answers

What constitutes an executive appointment according to the Professional Conduct Rules?

<p>A position performing executive functions in a law practice. (B)</p> Signup and view all the answers

Which type of business should a legal practitioner avoid for executive appointments?

<p>Any business that might detract from the dignity of the legal profession. (A)</p> Signup and view all the answers

What was highlighted as a lack in the supervisor's practices?

<p>Periodic checks on clerks' interactions with clients. (D)</p> Signup and view all the answers

Which of the following best represents the intent behind Rule 34 regarding executive appointments?

<p>To ensure legal practitioners prioritize their legal profession. (D)</p> Signup and view all the answers

What is the purpose of Rule 32 in the Professional Conduct Rules?

<p>To establish supervisory duties over employees. (A)</p> Signup and view all the answers

Which of the following is NOT a description that a legal practitioner can use according to Rule 33?

<p>Independent director. (B)</p> Signup and view all the answers

What should legal practitioners ensure regarding their availability when pursuing executive appointments?

<p>They must not interfere with their primary duties as lawyers. (B)</p> Signup and view all the answers

What does Rule 34 state regarding Executive Appointments?

<p>Practitioners must avoid incompatible business roles. (B)</p> Signup and view all the answers

Flashcards

Paralegal's role in litigation

Paralegals assist solicitors in litigation and other legal areas, but cannot practice law on their own.

Rule 13.6

Legal practitioners must avoid publishing anything about court proceedings that could prejudice a fair trial or be a contempt of court.

Unauthorised person

Someone not on the official register of lawyers who cannot practice as an advocate or solicitor legally.

Paralegal's liability

Lawyers might be responsible for statements made by their paralegals if those violate rules like 13.6.

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Legal Practice limitations

Paralegals and support staff can't act independently as solicitors or advocates in legal practices, they are unauthorized people.

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Section 77 of the Legal Profession Act

Solicitors must not support unauthorized individuals to act as lawyers in Singapore.

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Section 33 of the Legal Profession Act

Acting as a lawyer without proper authorization is a criminal offense.

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Unauthorized Practice of Law

Willfully pretending to be a lawyer, or offering legal services without being qualified.

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Penalty for Unauthorized Practice

A fine (up to $50,000) or imprisonment (up to 12 months), for a first or subsequent offense.

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Corporate Unauthorized Practice

A corporation acting like a law firm without the necessary qualifications.

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Exceptions to Unauthorized Practice

Specific individuals or groups exempt from the law, such as government officials, and lawyers assisting in self-representation.

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Arbitration Proceedings Exemption

The law doesn't apply to activities related to arbitration, like providing legal advice or representing parties involved in arbitration.

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Mediation Proceedings Exemption

Mediation and certified mediators are also exempt from the section 32/33 provisions.

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Legal Profession Act

The law outlining the rules around who can practice law, and who are exempt.

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Attorney General

Chief law enforcement officer who represents the state in court, part of authorized legal practice.

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Solicitor General

Law officer who argues cases before the Supreme Court on behalf of the federal government, authorized legal practice.

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Executive appointment

A legal practitioner can accept an executive position in a non-legal business if specific conditions are met, such as not jeopardizing their professional integrity or independence.

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Incompatible businesses

Certain business activities, like being a housing agent, are considered incompatible with the legal profession and cannot be pursued by a solicitor.

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Supervision of staff (Paralegals)

Solicitors are responsible for supervising staff, including paralegals, to ensure they don't engage in unauthorized legal practice.

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Section 77 LPA

The Legal Profession Act (LPA) prohibits solicitors from assisting unauthorized individuals in practicing law, with penalties of up to 12 months imprisonment or a 50,000 SGD fine.

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Section 35A Penalty

The court can fine or imprison an unauthorized person who breaks the law and also order them to repay illegal gains.

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Section 36 & Costs

An unauthorized person cannot recover any legal costs after breaking the law.

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Section 77 Prohibitions

Solicitors are prohibited from helping unauthorized persons practice law in any way, like using their name, sending legal documents, or opening bank accounts for them.

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Practice Direction 3.11.2

A rule stating that solicitors cannot simply lend their names to documents prepared by unauthorized persons, even for company formation.

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Consequence of Breaking Section 77

A solicitor who breaks Section 77 faces disciplinary action, and the unauthorized person faces criminal charges, including fines or jail time.

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Troy Yeoh Siu Chye Case

A solicitor was suspended for four years for failing to supervise an employee who was acting illegally.

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What happened in the Troy Yeoh Case?

A clerk, pretending to be a lawyer, collected payment for stamp duty and took advantage of the solicitor's lack of supervision.

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Key Takeaway from Troy Yeoh Case

Solicitors must have proper supervision over staff to prevent unauthorized practice.

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Consequences of Unauthorized Practice

Both the unauthorized person and the solicitor enabling them face legal consequences, including fines, imprisonment, and disciplinary action.

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Rule 32: Solicitor Supervision

This rule requires solicitors to properly supervise their employees, especially those dealing with clients and their funds, to prevent misconduct and protect client interests.

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Gross Breach of Supervision

A serious violation of Rule 32 where a solicitor fails to adequately oversee their employee's actions, leading to potential harm to clients or their finances.

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Rule 33: Titles and Descriptions

This rule governs how lawyers can present themselves to the public, specifying approved titles and descriptions that reflect their legal qualifications.

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Approved Lawyer Titles

Legal practitioners can use titles like 'Advocate and Solicitor', 'Lawyer', 'Legal Consultant', or 'Commissioner for Oaths' if they have the necessary qualifications.

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Rule 34: Executive Appointment Restrictions

This rule prohibits lawyers from accepting executive positions in businesses that could conflict with their legal practice, compromise their professional integrity, or unfairly attract clients.

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Rule 34.1: Incompatible Businesses

This section specifies types of businesses that lawyers are prohibited from accepting executive positions in due to potential conflicts or harm to their legal practice.

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Dignity of the Legal Profession

Maintaining professional standards and behavior that uphold the integrity and reputation of the legal profession.

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Interference with Primary Occupation

Businesses that significantly hinder a lawyer's ability to practice law, serve their clients, or make themselves available for legal work.

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Unfair Business Attraction

Businesses that may unfairly draw clients to a lawyer's practice due to their executive role, potentially creating a conflict of interest.

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Study Notes

Ethics and Professional Responsibility

  • This lecture covers ethics, professional responsibility, supervision of staff, use of titles, and executive appointments
  • Responsibility for staff engaging in illegal practice is outlined in Rule 32 of the Professional Conduct Rules
  • Rule 32 mandates that legal practitioners supervise staff (including paralegals) regardless of their designation.

Supervision of Paralegals

  • The Law Society provides Guidance Note 371 (issued January 31, 2019) for paralegal supervision.
  • Paralegals include legal executives, secretaries, clerks, and other employees performing paralegal functions, assisting solicitors. Their employment doesn't require a practicing certificate.
  • Solicitors are responsible for all paralegal actions. Paralegals should act under constant solicitor supervision in all legal matters
  • Paralegals cannot make unsupervised appearances in Singapore courts, including chambers and pre-trial conferences. They may attend with prior court leave for note-taking. They are not allowed in the front row or areas reserved for solicitors.

Restrictions on Paralegals

  • Solicitors must ensure paralegals refrain from unsupervised conduct in litigation (including criminal matters)
  • Paralegals may take statements/interview clients (without solicitor advice) in certain cases.
  • Rules apply to all practice areas including corporate secretarial, conveyancing, and intellectual property.
  • Paralegals are subject to Rule 13.6 (Legal Practitioners must not publish or facilitate publication about legal proceedings that amount to contempt of court or prejudice a fair trial).

Unauthorised Practice

  • Solicitors must not enable unauthorized persons to practice law in Singapore
  • Unauthorised persons are those without a practicing certificate.
  • Part B students and practice trainees are also considered unauthorized persons.
  • Acting as an advocate or solicitor without authorization is a criminal offence (Section 33.1 Legal Profession Act)
  • Penalties for unauthorised persons include fines (25,000−25,000 - 25,000−50,000) and/or imprisonment (6 months - 12 months).

Executive Appointments

  • Executive appointments involve performing executive functions for a business or law practice (but excludes non-executive directors/independent directors).
  • Legal practitioners must not accept executive appointments which conflict with, are incompatible with, or detract from the dignity of the legal profession.
  • They also must avoid any appointments that could unfairly attract clients
  • They may accept executive appointments in business entities that don't provide legal services if conditions of the second schedule are satisfied (not detracting from the integrity and dignity of the legal profession).

Supervision of Staff

  • Solicitors are responsible to ensure proper supervision of their staff members. Failure to do so may result in disciplinary proceedings. Gross breaches of the supervisory duty lead to penalties such as suspension.
  • Solicitors must be mindful that paralegals are not allowed to practise law.

Criminal Offenses

  • Solicitors may face disciplinary proceedings and potential fines/imprisonment if found in violation.
  • Unauthorised parties may be subject to sanctions like fines and imprisonment if they act as agents for clients without authority.
  • Specific roles and responsibilities concerning paralegals are also subject to penalties and disciplinary actions.

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Description

This quiz explores the ethical responsibilities and professional conduct rules surrounding the supervision of paralegals and other staff in legal practice. It also outlines Rule 32 regarding the legal practitioners' responsibility for staff actions. Participants will deepen their understanding of the relationship between solicitors and paralegals under guidance notes and professional standards.

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