Professional Ethics Syllabus PDF

**professional ethics** **unit 1 -- syllabus AREAS** **(This document sets out in one place the relevant extracts of the Code of Conduct taken from The BSB Handbook -- Version 4.8 contained in the syllabus)** **Part 1: Introduction** A. **General** **A1. The Bar Standards Board** **I1** The ...

**professional ethics** **unit 1 -- syllabus AREAS** **(This document sets out in one place the relevant extracts of the Code of Conduct taken from The BSB Handbook -- Version 4.8 contained in the syllabus)** **Part 1: Introduction** A. **General** **A1. The Bar Standards Board** **I1** The *Bar Standards Board *is a specialist regulator focussing primarily on the regulation of advocacy, litigation and legal advisory services. These legal services have a close relationship to access to justice and the rule of law. Our society is based on a rule of law. Everyone needs to be able to seek expert advice on their legal rights and obligations and to have access to skilled representation in the event of a dispute or litigation. Our system of justice depends on those who provide such services acting fearlessly, independently and competently, so as to further their clients' best interests, subject always to their duty to the Court. **I2** The regulatory objectives of the *Bar Standards Board *derive from the Legal Services Act 2007 and can be summarised as follows:.1 protecting and promoting the public interest;.2 supporting the constitutional principles of the rule of law;.3 improving access to justice;.4 protecting and promoting the interests of consumers;.5 promoting competition in the provision of the services;.6 encouraging an independent, strong, diverse and effective legal profession;.7 increasing public understanding of the citizen's legal rights and duties; and.8 promoting and maintaining adherence to the following professional principles:.a that *authorised persons *act with independence and integrity;.b that *authorised persons *maintain proper standards of work;.c that *authorised persons *act in the best interests of their clients;.d that *authorised persons *comply with their duty to the court to act with independence in the interests of justice; and.e that the affairs of clients are kept confidential. **I3** The BSB Handbook ("*this Handbook*" or "*the Handbook*") sets out the standards that the *Bar Standards Board *requires the *persons* it regulates to comply with in order for it to be able to meet its *regulatory objectives*. **I4** Although the *Handbook *is drafted with specific reference to those regulated by the BSB and for use by them, the *Handbook *should also act as a useful reference tool for all consumers of legal services regulated by the *Bar Standards Board*. In particular, the Core Duties and the outcomes set out in Part 2 of this Handbook should give consumers a useful indication of what they should expect from the *Bar Standard Board's *regulatory framework and those subject to it. A2. Structure of the Handbook **I5** The *Handbook *consists of the following parts:.1 Part 1 **-- Introduction**;.2 Part 2 **-- The Code of Conduct **-- this part includes the ten Core Duties which underpin the *Bar Standards Board's* entire regulatory framework, as well as the rules which supplement those Core Duties. Compliance with both the Core Duties and the rules is mandatory. The Code of Conduct also contains details of the outcomes which compliance with the Core Duties and the rules is designed to achieve. The *Bar Standards Board's* approach to regulation is risk-focused and so these outcomes have been defined by considering the risks which the profession needs to manage if the *regulatory objectives* are to be achieved;.3 Part 3 **-- Scope of Practice and Authorisation and Licensing Rules **-- this part includes the requirements that must be met to become entitled to practise as a *barrister *or a *registered European lawyer *and the process that must be followed in order to obtain authorisation to practise as a *BSB entity*. It also provides a summary of the scope of activities that each type of *BSB authorised person* is permitted to undertake;.4 Part 4 **-- Bar Qualification Rules **-- this part sets out the training which a person must complete, and other requirements which a person must satisfy, in order to be called to the Bar by an *Inn* and become qualified to practise as a *barrister*. It also includes details of the training requirements that *BSB authorised persons* are required to meet, and provides for the regulation of Authorised Education and Training Organisations (AETOs);.5 Part 5 **-- Enforcement Regulations **-- this part sets out the enforcement procedures that apply if *applicable persons *fail to act in accordance with the requirements of this *Handbook*;.6 Part 6 **-- Definitions **-- this part defines all the italicised terms used in this *Handbook*. **I6** The *Handbook *includes Core Duties, Outcomes, Guidance, Rules and Regulations. "CD" refers to Core Duties, "o" to Outcomes, "g" to Guidance, "r" to Rules and Regulations. The Regulations form the basis upon which enforcement action may be taken and are set out in Part E of this Handbook. The effect of something being classified as a Core Duty, Outcome, Guidance, Rule or Regulations is as follows:.1 **Core Duties -- **these underpin the entire regulatory framework and set the mandatory standards that all *BSB regulated persons *or *unregistered barristers *are required to meet. They also define the core elements of professional conduct. Disciplinary proceedings may be taken against a *BSB regulated person* or *unregistered barrister* if the *Bar Standards Board* believes there has been a breach by that person of the Core Duties set out in this *Handbook* and that such action would be in accordance with the *Enforcement Strategy*..2 **The Outcomes -- **these explain the reasons for the regulatory scheme and what it is designed to achieve. They are derived from the *regulatory objectives *as defined in the LSA and the risks which must be managed if those objectives are to be achieved. They are not themselves mandatory rules, but they are factors which *BSB regulated persons *or *unregistered barristers *should have in mind when considering how the Core Duties, Conduct Rules or Bar Qualification Rules (as appropriate) should be applied in particular circumstances. The *Bar Standards Board *will take into account whether or not an Outcome has, or might have been, adversely affected when considering how to respond to alleged breaches of the Core Duties, Conduct Rules or Bar Qualification Rules..3 **The Rules -- **The Rules serve three purposes:.a the Conduct Rules supplement the Core Duties and are mandatory. Disciplinary proceedings may be taken against a *BSB regulated person *or *unregistered barrister *if the *Bar Standards Board *believes there has been a breach by that person of the Conduct Rules set out as applying to them in Part 2 of this *Handbook* and that it would be in accordance with the *Enforcement strategy* to take such action. However, the Conduct Rules are not intended to be exhaustive. In any situation where no specific Rule applies, reference should be made to the Core Duties. In situations where specific Rules do apply, it is still necessary to consider the Core Duties, since compliance with the Rules alone will not necessarily be sufficient to comply with the Core Duties;.b the Rules contained within "Scope of Practice Rules" set out the requirements for authorisation and the scope of practice for different kinds of *BSB authorised person *and include some rules relevant to *unregistered barristers*. These rules are mandatory;.c the rest of Part 3 and Part 4 set out the requirements which must be met by a *person *before they may undertake a specific role within those regulated by the *Bar Standards Board. *If a person fails to meet those requirements, they will not be permitted to undertake that role by the *Bar Standards Board*. Where requirements are continuing and a *BSB regulated person *or *unregistered barrister* fails to meet such requirements which are relevant to that *BSB regulated person* or *unregistered barrister*, the *Bar Standards Board* may take steps in accordance with Part 3 or Part 5 to have that *BSB regulated person* or *unregistered barrister* prevented from continuing within that role..4 **Guidance --**.a Guidance serves a number of purposes:.i to assist in the interpretation and application of the Core Duties or Rules to which such Guidance relates..ii to provide examples of the types of conduct or behaviour that the Rules are intended to encourage or which would likely indicate compliance with the relevant Rule or, conversely, which may constitute non-compliance with the Rule to which such Guidance relates..iii to explain how the Rule applies to a particular type of *person *or *unregistered barrister *and how that particular *person* could comply with that Rule..iv to act as a signpost to other rules or to guidance on the *Bar Standards Board *website or elsewhere which may be relevant when considering the scope of the Rule..v in Part 3, to give further information about the process of applying for authorisation and about how the *Bar Standards Board *intends to exercise its discretionary powers in relation to the authorisation of entities..b The Guidance set out in this Handbook is not the only guidance which is relevant to *BSB regulated persons and unregistered barristers. *In addition to the Guidance, the *Bar Standards Board* has published and will publish from time to time various guidance on its website which supplements this *Handbook*, including (but not limited to):.i the Bar Qualification Manual; and.ii the BSB's Supporting Information on the BSB Handbook Equality Rules..c In carrying out their obligations or meeting the requirements of this *Handbook*, *BSB regulated persons* and *unregistered barristers* must have regard to any relevant guidance issued by the *Bar Standards Board* which will be taken into account by the *Bar Standards Board* if there is an alleged breach of or otherwise non-compliance with of the obligations imposed on a *BSB regulated person* or *unregistered barrister* under this *Handbook*. Failure to comply with the guidance will not of itself be proof of such breach or non-compliance but the *BSB regulated person* or *unregistered barrister* will need to be able to show how the obligation has been met notwithstanding the departure from the relevant guidance..5 **Regulations **-- Part 5 of this *Handbook *sets out the regulations which bind the *Bar Standards Board *when it considers alleged breaches of the *Handbook* and subsequent enforcement action. These Regulations also bind the various Tribunals and panels referred to in that Part and all persons who are subject to the enforcement process. When considering enforcement action under Part 5, the *Bar Standards Board's* response to any alleged breach of or non-compliance with the Core Duties or the Rules will be informed by the impact of the alleged breach or non-compliance on the achievement of the relevant Outcomes, as well by as its own *Supervision and Enforcement Strategies* and any other policies published from time to time which the *Bar Standards Board* regards as relevant (taking into account the nature of the alleged breach or non-compliance). A3. Amendments to the Handbook Rules **rl1** Subject to Rules r1 and r2, the *Bar Standards Board *may make amendments and/or additions to this *Handbook *by resolution and any such amendments and/or additions will take effect on such date as the *Bar Standards Board *appoints or, if no such date is appointed, on the date when notice of the amendment is first published on the *Bar Standard Board's *website following approval under Schedule 4 of the Legal Services Act 2007. **rI2** The *Bar Standards Board *shall not without the unanimous consent of the Inns amend or waive any rule so as to permit a person who has not been called to the Bar by an Inn to practise as a barrister. **rI3** Removed from 1 November 2017. **rI4** Amendments and additions will be published on the *Bar Standards Board's *website. A4. Waivers Rules **rI5** Subject to rI2, the *Bar Standards Board *shall have the power to waive or modify:.1 the duty imposed on a *BSB regulated person or unregistered barrister *to comply with the provisions of this *Handbook*; or.2 any other requirement of this *Handbook*.3 in such circumstances and to such extent as the *Bar Standards Board *may think fit and either conditionally or unconditionally. **rI6** Any application to the *Bar Standards Board *for a waiver of any of the mandatory requirements or to extend the time within which to complete any of the mandatory requirements must be made in writing, setting out all relevant circumstances relied on and supported by all relevant documentary evidence. **B. Application Rules** **rI7** Subject to paragraphs rI8 to rI11 below, this *Handbook *applies to the following categories of person:.1 all *barristers*, that is to say:.a barristers who hold a practising certificate in accordance with Section 3.C ("*practising barristers");*.b barristers who are undertaking *pupillage*, or a part thereof and who are registered with the *Bar Standards Board *as a *pupil *("*pupils*"); and.c all *unregistered barristers*..2 European lawyers registered as such by the *Bar Standards Board *and by an *Inn *in accordance with Section 3.D but only in connection with professional work undertaken by them in England and Wales ("*registered European lawyers*");.3 bodies which have been authorised or licensed by the *Bar Standards Board *in accordance with Section 3.E of this Handbook ("*BSB entities*");.4 individuals who are authorised to provide *reserved legal activities *by another *Approved Regulator where such individuals are employed by a BSB authorised person ("authorised (non-BSB) individuals");*.5 all managers of *BSB entities*;.6 to the extent that this *Handbook *is expressed to apply to them in their capacity as such, owners of a *BSB entity*;.7 solely as regards provisions in this *Handbook *relating to disqualification from performing a *relevant activity* or *relevant activities* and not otherwise, any *non-authorised individuals* who are employed by a *BSB authorised person*; and.8 solely as regards Section 4.B of the *Handbook*, individuals who wish to be called to the Bar and to become qualified to practise as a barrister and authorised education and training organisations. Until 1 January 2020, for the purposes of any proceedings of the Inns Conduct Committee, Part 4 applies as if version 3.5 of the BSB Handbook were in force;.9 and persons within paragraphs rI7.1 to 7 (with the exception of pupils without a provisional practising certificate, unregistered barristers and owners) are referred to as *"BSB regulated persons"* throughout this *Handbook*. For the purposes of Part 5 of the *Handbook* these persons (and those who are no longer *BSB regulated persons* or *unregistered barristers* but who were at the time when any conduct was complained of or reported) are referred to as *"applicable persons"*. For the avoidance of doubt, the *Handbook* continues to apply to those who are subject to suspension. **rI8** If you are a *BSB authorised individual* who is employed by or a *manager* of an *authorised (non-BSB) body* and is subject to the regulatory arrangements of the *Approved Regulator* of that body, and the requirements of that other *Approved Regulator* conflict with a provision within this *Handbook* then the conflicting provision within this *Handbook* shall not apply to you. You will instead be expected to comply with the requirements of that other *Approved Regulator* and, if you do so, you will not be considered to be in breach of the relevant provision of this *Handbook*. **rI9** If you are a *pupil *and are:.1 the *pupil *of an *employed barrister (non-authorised body)*; or.2 the *pupil *of a manager or employee *of a BSB entity*; or.3 the *pupil *of a *manager *or employee of an *authorised (non-BSB) body*; or.4 spending a period of external training with a *BSB entity *or an *authorised (non-BSB) body*.5 this *Handbook *will apply to you as though you were an employee of the *barrister's *employer or the body concerned. **rI10** If you are a *registered European lawyer*, then, except where otherwise provided, the provisions of this *Handbook *which apply to *barristers *shall apply to you, in connection with all professional work undertaken by you in England and Wales, as if you were a *self-employed barrister *or an *employed barrister (non-authorised body) *or a *manager* or employee of an *authorised (non BSB) body* or a manager or employee of a *BSB entity* (as the case may be) depending on the way in which you practise. **rI11** In addition to the above, each Part to this Handbook has its own application section which sets out the more detailed application of that particular Part. In the event of any inconsistency, the application section specific to the particular Part shall prevail over these general provisions. **C. Commencement and Transitional Provisions** Rules **rI12** This fourth edition of the *Handbook *came into force on 1 April 2019 and replaced the third edition of the *Handbook *(which came into effect from 3 April 2017). **rI13** Subject to rI14 below, in respect of anything done or omitted to be done or otherwise arising before 6 January 2014:.1 Parts 2 and 3 of this Handbook shall not apply;.2 the edition of the Code of Conduct or relevant Annexe in force at the relevant time shall apply; and.3 any reference to Part 2, Part 3 or Part 5 of this *Handbook *shall include reference to the corresponding Part of the edition of the Code of Conduct or relevant Annexe which was in force at the relevant time. **rI14** Where:.1 a matter is being dealt with under the Complaints Regulations prior to 15 October 2019; or the Disciplinary Tribunal Regulations 2014 prior to 1 November 2017; or Annexe J (The Complaints Rules 2011), Annexe K (The Disciplinary Tribunals Regulations (2009) (Reissued 1 February 2012)), Annexe M (Hearings before the Visitors Rules), Annexe N (Interim Suspension Rules) or Annexe O (Fitness to Practise Rules) prior to 6 January 2014; and that matter has not concluded or been disposed of; or.2 anything done or omitted to be done or otherwise arising before 6 January 2014 required referral for consideration in accordance with any of the above Annexes, then Part 5 of this *Handbook *shall apply to all such cases and any step taken pursuant to the Annexes then applying (if any) shall be regarded, unless otherwise decided, as having been taken pursuant to the equivalent provisions of Part 5 of this *Handbook*, save that no fine in excess of £15,000 may be imposed by a *Disciplinary Tribunal *in respect of conduct before 6 January 2014 and no financial *administrative sanction *in excess of £300 may be imposed by the *Commissioner *or an *Independent Decision-Making Panel* in respect of conduct before 6 January 2014. **D. Interpretation** Rules **rI15** In this *Handbook*:.1 words and phrases in italics shall have the meaning given to them in Part 6;.2 any reference to the singular shall include the plural and vice versa;.3 any reference to another provision in this *Handbook *shall be a reference to that provision as amended from time to time; and.4 where references are made to an enactment, it is a reference to that enactment as amended, and includes a reference to that provision as extended or applied by or under any other enactment. **Part 2 - A. Application Rules** **rC1** Who?.1 Section 2.B (Core Duties): applies to all *BSB regulated persons* and *unregistered barristers* except where stated otherwise, and references to "you" and "your" in Section 2.B shall be construed accordingly..2 Section 2.C (Conduct Rules):.a Applies to all *BSB regulated persons*..b Rules rC3.5, rC4, rC8, rC16, rC19 and rC64 to rC70 (and associated guidance to those rules) and the guidance on Core Duties also apply to *unregistered barristers*. If an *unregistered barrister* practises as a *barrister* as set out in rS9 then those rules which apply to practising barristers shall also apply. References to "you" and "your" in Section 2.C shall be construed accordingly.3 Section 2.D (Specific Rules): applies to specific groups as defined in each sub-section and references to "you" and "your" shall be construed accordingly. **rC2** When?.1 Section 2.B applies when practising or otherwise providing *legal services*. In addition, CD5 and CD9 apply at all times..2 Section 2.C applies when practising or otherwise providing *legal services*. In addition, rules rC8, rC16 and rC64 to rC70 and the associated guidance apply at all times..3 Section 2.D applies when practising or otherwise providing *legal services*..4 Sections 2.B, 2.C and 2.D only apply to *registered European lawyers* in connection with professional work undertaken by them in that capacity in England and Wales. **Part 2 - B. The Core Duties Core Duties** **CD1 You must observe your duty to the court in the administration of justice \[CD1\].** **CD2 You must act in the best interests of each client \[CD2\].** **CD3 You must act with honesty, and with integrity \[CD3\].** **CD4 You must maintain your independence \[CD4\].** **CD5 You must not behave in a way which is likely to diminish the trust and confidence which the public places in you or in the profession \[CD5\].** **CD6 You must keep the affairs of each client confidential \[CD6\].** **CD7 You must provide a competent standard of work and service to each client \[CD7\]** **CD8 You must not discriminate unlawfully against any person \[CD8\].** **CD9 You must be open and co-operative with your regulators \[CD9\].** **CD10 You must take reasonable steps to manage your practice, or carry out your role within your practice, competently and in such a way as to achieve compliance with your legal and regulatory obligations \[CD10\].** Guidance to the Core Duties Guidance **gC1** The Core Duties are not presented in order of precedence, subject to the following:.1 CD1 overrides any other core duty, if and to the extent the two are inconsistent. Rules rC3.5 and rC4 deal specifically with the relationship between CD1, CD2 and CD4 and you should refer to those rules and to the related Guidance;.2 in certain other circumstances set out in this Code of Conduct one Core Duty overrides another. Specifically, Rule rC16 provides that CD2 (as well as being subject to CD1) is subject to your obligations under CD3, CD4 and CD8. **gC2** Your obligation to take reasonable steps to manage your *practice*, or carry out your role within your *practice*, competently and in such a way as to achieve compliance with your legal and regulatory obligations (CD10) includes an obligation to take all reasonable steps to mitigate the effects of any breach of those legal and regulatory obligations once you become aware of the same. **gC2A** Your obligation to be open and co-operative with your regulators (CD9) includes being open and co-operative with all relevant regulators and ombudsman schemes, including but not limited to approved regulators under the Legal Services Act 2007 and the Legal Ombudsman. **Part 2 - C. The Conduct Rules** Rules **Part 2 - C1. You and the court** Rules Outcomes C1-C5 Outcomes **oC1** The *court* is able to rely on information provided to it by those conducting litigation and by advocates who appear before it. **oC2** The proper administration of justice is served. **oC3** The interests of *clients* are protected to the extent compatible with outcomes oC1 and oC2 and the Core Duties. **oC4** Both those who appear before the *court* and *clients* understand clearly the extent of the duties owed to the *court* by advocates and those conducting litigation and the circumstances in which duties owed to *clients* will be overridden by the duty owed to the *court*. **oC5** The public has confidence in the administration of justice and in those who serve it. Rules C3-C6 Rules **rC3** You owe a duty to the *court* to act with independence in the interests of justice. This duty overrides any inconsistent obligations which you may have (other than obligations under the criminal law). It includes the following specific obligations which apply whether you are acting as an advocate or are otherwise involved in the conduct of litigation in whatever role (with the exception of Rule C3.1 below, which applies when acting as an advocate):.1 you must not knowingly or recklessly mislead or attempt to mislead the *court*;.2 you must not abuse your role as an advocate;.3 you must take reasonable steps to avoid wasting the *court's* time;.4 you must take reasonable steps to ensure that the *court* has before it all relevant decisions and legislative provisions;.5 you must ensure that your ability to act independently is not compromised. **rC4** Your duty to act in the best interests of each *client* is subject to your duty to the *court*. **rC5** Your duty to the *court* does not require you to act in breach of your duty to keep the affairs of each *client* confidential. **Not misleading the court** **rC6** Your duty not to mislead the *court* will include the following obligations:.1 you must not:.a make submissions, representations or any other statement; or.b ask questions which suggest facts to witnesses which you know, or are instructed, are untrue or misleading..2 you must not call witnesses to give evidence or put affidavits or witness statements to the *court* which you know, or are *instructed*, are untrue or misleading, unless you make clear to the *court* the true position as known by or instructed to you. Guidance to Rules C3-C6 and relationship to CD1-CD2 Guidance **gC3** Rules rC3 -- rC6 set out some specific aspects of your duty to the *court* (CD1). See CD1 and associated Guidance at gC1. **gC4** As to your duty not to mislead the court:.1 knowingly misleading the *court* includes being complicit in another person misleading the court;.2 knowingly misleading the *court* also includes inadvertently misleading the court if you later realise that you have misled the *court*, and you fail to correct the position;.3 recklessly means being indifferent to the truth, or not caring whether something is true or false; and.4 the duty continues to apply for the duration of the case. **gC5** Your duty under Rule rC3.4 includes drawing to the attention of the *court* any decision or provision which may be adverse to the interests of your *client*. It is particularly important where you are appearing against a litigant who is not legally represented. **gC6** You are obliged by CD2 to promote and to protect your *client's* interests so far as that is consistent with the law and with your overriding duty to the *court* under CD1. Your duty to the *court* does not prevent you from putting forward your *client's* case simply because you do not believe that the facts are as your *client* states them to be (or as you, on your *client's* behalf, state them to be), as long as any positive case you put forward accords with your *instructions* and you do not mislead the *court*. Your role when acting as an advocate or conducting litigation is to present your *client's* case, and it is not for you to decide whether your *client's* case is to be believed. **gC7** For example, you are entitled and it may often be appropriate to draw to the witness's attention other evidence which appears to conflict with what the witness is saying and you are entitled to indicate that a *court* may find a particular piece of evidence difficult to accept. But if the witness maintains that the evidence is true, it should be recorded in the witness statement and you will not be misleading the *court* if you call the witness to confirm their witness statement. Equally, there may be circumstances where you call a hostile witness whose evidence you are instructed is untrue. You will not be in breach of Rule rC6 if you make the position clear to the *court*. See, further, the guidance at gC14. **gC8** As set out in Rule rC5, your duty to the *court* does not permit or require you to disclose confidential information which you have obtained in the course of your *instructions* and which your client has not authorised you to disclose to the *court*. However, Rule rC6 requires you not knowingly to mislead the *court*. There may be situations where you have obligations under both these rules. **gC9** Rule rC4 makes it clear that your duty to act in the best interests of your *client* is subject to your duty to the *court*. For example, if your *client* were to tell you that they have committed the crime with which they were charged, in order to be able to ensure compliance with Rule rC4 on the one hand and Rule rC3 and Rule rC6 on the other:.1 you would not be entitled to disclose that information to the *court* without your *client's* consent; and.2 you would not be misleading the *court* if, after your *client* had entered a plea of 'not guilty', you were to test in cross-examination the reliability of the evidence of the prosecution witnesses and then address the jury to the effect that the prosecution had not succeeded in making them sure of your *client's* guilt. **gC10** However, you would be misleading the *court* and would therefore be in breach of Rules rC5 and rC6 if you were to set up a positive case inconsistent with the confession, as for example by:.1 suggesting to prosecution witnesses, calling your *client* or your witnesses to show; or submitting to the jury, that your *client* did not commit the crime; or.2 suggesting that someone else had done so; or.3 putting forward an alibi. **gC11** If there is a risk that the *court* will be misled unless you disclose confidential information which you have learned in the course of your *instructions*, you should ask the *client* for permission to disclose it to the *court*. If your *client* refuses to allow you to make the disclosure you must cease to act, and return your *instructions*: see Rules rC25 to rC27 below. In these circumstances you must not reveal the information to the *court*. **gC12** For example, if your *client* tells you that they have previous *convictions* of which the prosecution is not aware, you may not disclose this without their consent. However, in a case where mandatory sentences apply, the non-disclosure of the previous *convictions* will result in the *court* failing to pass the sentence that is required by law. In that situation, you must advise your *client* that if consent is refused to your revealing the information you will have to cease to act. In situations where mandatory sentences do not apply, and your *client* does not agree to disclose the previous *convictions*, you can continue to represent your *client* but in doing so must not say anything that misleads the court. This will constrain what you can say in mitigation. For example, you could not advance a positive case of previous good character knowing that there are undisclosed prior *convictions*. Moreover, if the *court* asks you a direct question you must not give an untruthful answer and therefore you would have to withdraw if, on your being asked such a question, your *client* still refuses to allow you to answer the question truthfully. You should explain this to your* client*. **gC13** Similarly, if you become aware that your *client* has a document which should be disclosed but has not been disclosed, you cannot continue to act unless your *client* agrees to the disclosure of the document. In these circumstances you must not reveal the existence or contents of the document to the *court*. Rule C7 - Not abusing your role as an advocate Rules **rC7** Where you are acting as an advocate, your duty not to abuse your role includes the following obligations:.1 you must not make statements or ask questions merely to insult, humiliate or annoy a witness or any other person;.2 you must not make a serious allegation against a witness whom you have had an opportunity to cross-examine unless you have given that witness a chance to answer the allegation in cross-examination;.3 you must not make a serious allegation against any person, or suggest that a person is guilty of a crime with which your *client* is charged unless:.a you have reasonable grounds for the allegation; and.b the allegation is relevant to your *client's* case or the credibility of a witness; and.c where the allegation relates to a third party, you avoid naming them in open *court* unless this is reasonably necessary..4 you must not put forward to the *court* a personal opinion of the facts or the law unless you are invited or required to do so by the *court* or by law. **Part 2 - C2. Behaving ethically** Rules Outcomes C6-C9 Outcomes **oC6** Those regulated by the *Bar Standards Board* maintain standards of honesty, integrity and independence, and are seen as so doing. **oC7** The proper administration of justice, access to justice and the best interests of *clients* are served. **oC8** Those regulated by the *Bar Standards Board* do not discriminate unlawfully and take appropriate steps to prevent *discrimination* occurring in their practices. **oC9** Those regulated by the *Bar Standards Board* and *clients* understand the obligations of honesty, integrity and independence. Rules C8-C9 - Honesty, integrity and independence Rules **rC8** You must not do anything which could reasonably be seen by the public to undermine your honesty, integrity (CD3) and independence (CD4). **rC9** Your duty to act with honesty and with integrity under CD3 includes the following requirements:.1 you must not knowingly or recklessly mislead or attempt to mislead anyone;.2 you must not draft any statement of case, witness statement, affidavit or other document containing:.a any statement of fact or contention which is not supported by your *client* or by your *instructions*;.b any contention which you do not consider to be properly arguable;.c any allegation of fraud, unless you have clear instructions to allege fraud and you have reasonably credible material which establishes an arguable case of fraud;.d (in the case of a witness statement or affidavit) any statement of fact other than the evidence which you reasonably believe the witness would give if the witness were giving evidence orally;.3 you must not encourage a witness to give evidence which is misleading or untruthful;.4 you must not rehearse, practise with or coach a witness in respect of their evidence;.5 unless you have the permission of the representative for the opposing side or of the *court*, you must not communicate with any witness (including your *client*) about the case while the witness is giving evidence;.6 you must not make, or offer to make, payments to any witness which are contingent on their evidence or on the outcome of the case;.7 you must only propose, or accept, fee arrangements which are legal. Guidance to Rules C8-C9 and relationship to CD1-CD5 Guidance **gC14** Your honesty, integrity and independence are fundamental. The interests of justice (CD1) and the *client's* best interests (CD2) can only be properly served, and any conflicts between the two properly resolved, if you conduct yourself honestly and maintain your independence from external pressures, as required by CD3 and CD4. You should also refer to Rule rC16 which subjects your duty to act in the best interests of your *client* (CD2) to your observance of CD3 and CD4, as well as to your duty to the *court* (CD1). **gC15** Other rules deal with specific aspects of your obligation to act in your *client's* best interests (CD2) while maintaining honesty, integrity (CD3) and independence (CD4), such as rule rC21.10 (not acting where your independence is compromised), rule rC10 (not paying or accepting *referral fees*) and rC21 (not acting in circumstances of a conflict of interest or where you risk breaching one *client's* confidentiality in favour of another's). **gC16** Rule C8 addresses how your conduct is perceived by the public. Conduct on your part which the public may reasonably perceive as undermining your honesty, integrity or independence is likely to diminish the trust and confidence which the public places in you or in the profession, in breach of CD5. Rule C9 is not exhaustive of the ways in which CD5 may be breached. **gC17** In addition to your obligation to only propose, or accept, fee arrangements which are legal in Rule C9.7, you must also have regard to your obligations in relation to referral fees in Rule rC10 and the associated guidance. **Examples of how you may be seen as compromising your independence** **gC18** The following may reasonably be seen as compromising your independence in breach of Rule 8 (whether or not the circumstances are such that Rule rC10 is also breached):.1 offering, promising or giving:.a any commission or referral fee (of whatever size) -- note that these are in any case prohibited by Rule rC10 and associated guidance; or.b a gift (apart from items of modest value), to any *client*, *professional client* or other *intermediary*; or.2 lending money to any such *client*, *professional client* or other *intermediary*; or.3 accepting any money (whether as a loan or otherwise) from any *client*, *professional client* or other *intermediary*, unless it is a payment for your professional services or reimbursement of expenses or of disbursements made on behalf of the *client*; **gC19** If you are offered a gift by a current, prospective or former *client*, *professional client* or other *intermediary*, you should consider carefully whether the circumstances and size of the gift would reasonably lead others to think that your independence had been compromised. If this would be the case, you should refuse to accept the gift. **gC20** The giving or receiving of entertainment at a disproportionate level may also give rise to a similar issue and so should not be offered or accepted if it would lead others reasonably to think that your independence had been compromised. **gC21** Guidance gC18 to gC20 above is likely to be more relevant where you are a *self-employed barrister*, a *BSB entity*, an *authorised (non-BSB) individual*, an *employed barrister (BSB entity)* or a *manager* of a *BSB entity*. If you are a *BSB authorised individual* who is a an employee or *manager* of an *authorised (non-BSB) body* or you are an *employed barrister (non-authorised body)* and your *approved regulator* or *employer* (as appropriate) permits payments to which Rule rC10 applies, you may make or receive such payments only in your capacity as such and as permitted by the rules of your *approved regulator* or *employer* (as appropriate). For further information on referral fees, see the guidance at gC32). **Media comment** **gC22** The ethical obligations that apply in relation to your professional practice generally continue to apply in relation to media comment. In particular, *barristers* should be aware of the following: Client's best interests: Core Duty 2 and Rules C15.1-.2 require a barrister to promote fearlessly and by all proper and lawful means the lay *client's* best interests and to do so without regard to their own interests. Independence: Core Duties 3 and 4 provide that you must not permit your absolute independence, integrity and freedom from external pressures to be compromised. Trust and confidence: Core Duty 5 provides that you must not behave in a way which is likely to diminish the trust and confidence which the public places in you or the profession. Confidentiality: Core Duty 6 and Rule C15.5 require you to preserve the confidentiality of your lay client's affairs and you must not undermine this unless permitted to do so by law or with the express consent of the lay client. **Examples of what your duty to act with honesty and integrity may require** **gC23** Rule rC9 sets out some specific aspects of your duty under CD3 to act with honesty and also with integrity. **gC24** In addition to the above, where the other side is legally represented and you are conducting correspondence in respect of the particular matter, you are expected to correspond at all times with that other party's legal representative -- otherwise you may be regarded as breaching CD3 or Rule C9. **Other possible breaches of CD3 and/or CD5** **gC25** Conduct which is likely to be treated as a breach of CD3 and/or CD5 includes (but is not limited to): 1. 2. 3. 4. 5. 6. 7. 8. **gC26** For the purposes of gC25.8 above, referring to your status as a *barrister* in a context where it is irrelevant but may influence others may constitute abuse of your professional position and thus involve a breach of CD3, CD5 and/or rC8. An example of this might be using professional notepaper in a private dispute. **gC27** The application provisions at Section A of Part 2 of this *Handbook* (the Code of Conduct) set out which Core Duties and rules apply to you and when they apply. Certain Core Duties and rules (such as CD5 and rC8) apply to you at all times and may therefore also be relevant to conduct which occurs in your private or personal life. To assist in considering whether conduct which occurs in your non-professional life is likely to be treated as a breach of CD5 and/or rC8, the BSB considers that the questions set out in the Guidance on the Regulation of Non-Professional Conduct are likely to be relevant. **gC28** Removed on 20 September 2023. Rule C10 - Referral fees Rules **rC10** You must not pay or receive *referral fees*. Guidance to Rule C10 and relationship to CD2-CD5 Guidance **gC29** Making or receiving payments in order to procure or reward the referral to you by an intermediary of professional *instructions* is inconsistent with your obligations under CD2 and/or CD3 and/or CD4 and may also breach CD5. **gC30** Moreover:.1 where public funding is in place, the *Legal Aid Agency's* Unified Contract Standard Terms explicitly prohibit contract-holders from making or receiving any payment (or any other benefit) for the referral or introduction of a *client*, whether or not the lay *client* knows of, and consents to, the payment;.2 whether in a private or publicly funded case, a *referral fee* to which the *client* has not consented may constitute a bribe and therefore a *criminal offence* under the Bribery Act 2010; **gC31** *Referral fees* and inducements (as defined in the Criminal Justice and Courts Act 2015) are prohibited where they relate to a claim or potential claim for damages for personal injury or death or arise out of circumstances involving personal injury or death personal injury claims: section 56 Legal Aid, Sentencing and Punishment of Offenders Act 2012 and section 58 Criminal Justice and Courts Act 2015. Rule rC10 does not prohibit proper expenses that are not a reward for referring work, such as genuine and reasonable payments for:.1 clerking and administrative services (including where these are outsourced);.2 membership subscriptions to ADR bodies that appoint or recommend a person to provide mediation, arbitration or adjudication services; or.3 advertising and publicity, which are payable whether or not any work is referred. However, the fact that a fee varies with the amount of work received does not necessarily mean that that it is a *referral fee*, if it is genuinely for a marketing service from someone who is not directing work to one provider rather than another, depending on who pays more. **gC32** Further guidance is available on the BSB's website. Rule C11 - Undertakings Rules **rC11** You must within an agreed timescale or within a reasonable period of time comply with any undertaking you give in the course of conducting litigation. Guidance to Rule C11 Guidance **gC33** You should ensure your insurance covers you in respect of any liability incurred in giving an undertaking. Rule C12 - Discrimination Rules **rC12** You must not discriminate unlawfully against, victimise or harass any other person on the grounds of race, colour, ethnic or national origin, nationality, citizenship, sex, gender re-assignment, sexual orientation, marital or civil partnership status, disability, age, religion or belief, or pregnancy and maternity. Guidance to Rule C12 Guidance **gC34** Rules rC110 and associated guidance are also relevant to equality and diversity. The BSB's Supporting Information on the BSB Handbook Equality Rules is available on the BSB website. Rules C13-C14 - Foreign work Rules **rC13** In connection with any *foreign work* you must comply with any applicable rule of conduct prescribed by the law or by any national or local Bar of:.1 the place where the work is or is to be performed; and.2 the place where any proceedings or matters to which the work relates are taking place or contemplated; unless such rule is inconsistent with any requirement of the Core Duties. **rC14** If you solicit work in any jurisdiction outside England and Wales, you must not do so in a manner which would be prohibited if you were a member of the local Bar. Guidance to Rules C13-14 Guidance **gC35** When you are engaged in *cross border activities* within a *CCBE State* other than the UK, you must comply with the rules at 2.D5 which implement the part of the *Code of Conduct for European Lawyers* not otherwise covered by this Handbook as well as with any other applicable rules of conduct relevant to that particular *CCBE State*. It is your responsibility to inform yourself as to any applicable rules of conduct. **Part 2 - C3. You and your client** Rules Outcomes C10-C20 Outcomes **oC10** *Clients* receive a competent standard of work and service. **oC11** *Clients'* best interests are protected and promoted by those acting for them. **oC12** *BSB authorised persons* do not accept instructions from *clients* where there is a conflict between their own interests and the *clients'* or where there is a conflict between one or more *clients* except when permitted in this *Handbook*. **oC13** *Clients* know what to expect and understand the advice they are given. **oC14** Care is given to ensure that the interests of vulnerable *clients* are taken into account and their needs are met. **oC15** *Clients* have confidence in those who are instructed to act on their behalf. **oC16** *Instructions *are not accepted, refused, or returned in circumstances which adversely affect the administration of justice, access to justice or (so far as compatible with these) the best interests of the *client*. **oC17** *Clients* and *BSB authorised persons* and *authorised (non-BSB) individuals* and *managers* of *BSB entities* are clear about the circumstances in which *instructions* may not be accepted or may or must be returned. **oC18** *Clients* are adequately informed as to the terms on which work is to be done. **oC19** *Clients* understand how to bring a *complaint* and *complaints *are dealt with promptly, fairly, openly and effectively. **oC20** *Clients* understand who is responsible for work done for them. Rules C15-C16 - Best interests of each client, provision of a competent standard of work and confidentiality Rules **rC15** Your duty to act in the best interests of each *client* (CD2), to provide a competent standard of work and service to each *client* (CD7) and to keep the affairs of each *client* confidential (CD6) includes the following obligations:.1 you must promote fearlessly and by all proper and lawful means the *client's* best interests;.2 you must do so without regard to your own interests or to any consequences to you (which may include, for the avoidance of doubt, you being required to take reasonable steps to mitigate the effects of any breach of this *Handbook*);.3 you must do so without regard to the consequences to any other person (whether to your *professional client*, *employer* or any other person);.4 you must not permit your *professional client*, *employer* or any other person to limit your discretion as to how the interests of the *client* can best be served; and.5 you must protect the confidentiality of each *client's* affairs, except for such disclosures as are required or permitted by law or to which your *client* gives informed consent. **rC16** Your duty to act in the best interests of each *client *(CD2) is subject to your duty to the *court* (CD1) and to your obligations to act with honesty, and with integrity (CD3) and to maintain your independence (CD4). Guidance to Rules C15-C16 and relationship to CD2 and CD6-CD7 Guidance **gC36** Your duty is to your *client*, not to your *professional client* or other *intermediary* (if any). **gC37** Rules rC15 and rC16 are expressed in terms of the interests of each *client*. This is because you may only accept *instructions* to act for more than one *client* if you are able to act in the best interests of each *client* as if that *client* were your only *client*, as CD2 requires of you. See further Rule rC17 on the circumstances when you are obliged to advise your *client* to seek other legal representation and Rules rC21.2 and rC21.3 on conflicts of interest and the guidance to those rules at gC69. **gC38** CD7 requires not only that you provide a competent standard of work but also a competent standard of service to your *client*. Rule rC15 is not exhaustive of what you must do to ensure your compliance with CD2 and CD7. By way of example, a competent standard of work and of service also includes:.1 treating each *client* with courtesy and consideration; and.2 seeking to advise your *client*, in terms they can understand; and.3 taking all reasonable steps to avoid incurring unnecessary expense; and.4 reading your instructions promptly. This may be important if there is a time limit or limitation period. If you fail to read your instructions promptly, it is possible that you will not be aware of the time limit until it is too late. **gC39** In order to be able to provide a competent standard of work, you should keep your professional knowledge and skills up to date, regularly take part in professional development and educational activities that maintain and further develop your competence and performance and, where you are a *BSB entity* or a *manager* of such body, you should take reasonable steps to ensure that *managers* and employees within your organisation undertake such training. Merely complying with the Continuing Professional Development requirements may not be sufficient to comply with Rule rC15. You should also ensure that you comply with any specific training requirements of the *Bar Standards Board* before undertaking certain activities -- for example, you should not attend a police station to advise a suspect or interviewee as to the handling and conduct of police interviews unless you have complied with the following training requirements imposed by the *Bar Standards Board*: *barristers* undertaking publicly funded police station work under a criminal contract must comply with the training requirements specified by the Legal Aid Agency. *Barristers* undertaking privately funded police station work must complete the Police Station Qualification ("PSQ") and (if they do not hold higher rights of audience) the Magistrates Court Qualification. Similarly, you should not undertake public access work without successfully completing the required training specified by the *Bar Standards Board*. **gC40** In addition to Guidance gC38 above, a *BSB entity* or a *manager* of such body should ensure that work is allocated appropriately, to *managers* and/or employees with the appropriate knowledge and expertise to undertake such work. **gC41** You should remember that your *client* may not be familiar with legal proceedings and may find them difficult and stressful. You should do what you reasonably can to ensure that the *client* understands the process and what to expect from it and from you. You should also try to avoid any unnecessary distress for your *client*. This is particularly important where you are dealing with a vulnerable *client*. **gC42** The duty of confidentiality (CD6) is central to the administration of justice. *Clients* who put their confidence in their legal advisers must be able to do so in the knowledge that the information they give, or which is given on their behalf, will stay confidential. In normal circumstances, this information will be privileged and not disclosed to a *court*. CD6, rC4 and Guidance gC8 and gC11 to gC13 provide further information. **gC43** Rule rC15.5 acknowledges that your duty of confidentiality is subject to an exception if disclosure is required or permitted by law. For example, you may be obliged to disclose certain matters by the Proceeds of Crime Act 2002. Disclosure in those circumstances would not amount to a breach of CD6 or Rule rC15.5 In other circumstances, you may only make disclosure of confidential information where your *client* gives informed consent to the disclosure. See the Guidance to Rule rC21 at gC69 for an example of circumstances where it may be appropriate for you to seek such consent. **gC44** There may be circumstances when your duty of confidentiality to your *client* conflicts with your duty to the *court*. Rule rC4 and Guidance gC8 and gC11 to gC13 provide further information. **gC45** Similarly, there may be circumstances when your duty of confidentiality to your *client* conflicts with your duty to your regulator. Rule rC64 and Guidance gC92 in respect of that rule provide further information. In addition, Rule rC66 may also apply. **gC46** If you are a *pupil* of, or are *devilling* work for, a *self-employed barrister*, Rule rC15.5 applies to you as if the *client* of the *self-employed barrister* was your own *client*. **gC47** The section You and Your Practice, at 2.C5, provides for duties regarding the systems and procedures you must put in place and enforce in order to ensure compliance with Rule rC15.5. **gC48** If you are an *authorised individual* or a *manager* working in a *BSB entity* your personal duty to act in the best interests of your *client* requires you to assist in the redistribution of *client* files and otherwise assisting to ensure each *client's* interests are protected in the event that the *BSB entity* itself is unable to do so for whatever reason (for example, insolvency). Rule C17 Rules **rC17** Your duty to act in the best interests of each *client *(CD2) includes a duty to consider whether the *client's* best interests are served by different legal representation, and if so, to advise the *client *to that effect. Guidance to Rule C17 Guidance **gC49** Your duty to comply with Rule rC17 may require you to advise your *client* that in their best interests they should be represented by:.1 a different advocate or legal representative, whether more senior or more junior than you, or with different experience from yours;.2 more than one advocate or legal representative;.3 fewer advocates or legal representatives than have been instructed; or.4 in the case where you are acting through a *professional client*, different *solicitors*. **gC50** Specific rules apply where you are acting on a public access basis, which oblige you to consider whether *solicitors* should also be instructed. As to these see the public access rules at Section 2.D2 and further in respect of *BSB entities* Rule S28 and the associated guidance. **gC51** CD2 and Rules rC15.5 and rC17 require you, subject to Rule rC16, to put your *client's* interests ahead of your own and those of any other person. If you consider that your *professional client*, another *solicitor* or *intermediary*, another *barrister*, or any other person acting on behalf of your *client* has been negligent, you should ensure that your *client* is advised of this. Rule C18 Rules **rC18** Your duty to provide a competent standard of work and service to each *client* (CD7) includes a duty to inform your *professional client*, or your *client* if instructed by a *client*, as far as reasonably possible in sufficient time to enable appropriate steps to be taken to protect the *client's* interests, if:.1 it becomes apparent to you that you will not be able to carry out the *instructions* within the time requested, or within a reasonable time after receipt of *instructions*; or.2 there is an appreciable risk that you may not be able to undertake the *instructions*. Guidance to Rule C18 Guidance **gC52** For further information about what you should do in the event that you have a clash of listings, please refer to our guidance which can be accessed on the *Bar Standards Board's *website. Rule C19 - Not misleading clients and potential clients Rules **rC19** If you supply, or offer to supply, *legal services*, you must not mislead, or cause or permit to be misled, any person to whom you supply, or offer to supply, *legal services* about:.1 the nature and scope of the *legal services* which you are offering or agreeing to supply;.2 the terms on which the *legal services* will be supplied, who will carry out the work and the basis of charging;.3 who is legally responsible for the provision of the services;.4 whether you are entitled to supply those services and the extent to which you are regulated when providing those services and by whom; or.5 the extent to which you are covered by insurance against claims for professional negligence. Guidance to Rule C19 Guidance **gC53** The best interests of *clients* (CD2) and public confidence in the profession (CD5) are undermined if there is a lack of clarity as to whether services are regulated, who is supplying them, on what terms, and what redress *clients* have and against whom if things go wrong. Rule rC19 may potentially be infringed in a broad variety of situations. You must consider how matters will appear to the *client*. **gC54** *Clients* may, by way of example, be misled if *self-employed barristers* were to share premises with *solicitors* or other professionals without making sufficiently clear to *clients* that they remain separate and independent from one another and are not responsible for one another's work. **gC55** Likewise, it is likely to be necessary to make clear to *clients* that any entity established as a "ProcureCo" is not itself able to supply *reserved legal activities* and is not subject to regulation by the *Bar Standards Board*. **gC56** A set of *chambers* dealing directly with unsophisticated lay *clients* might breach Rule rC19 if its branding created the appearance of an entity or *partnership* and it failed to explain that the members of *chambers* are, in fact, self-employed individuals who are not responsible for one another's work. **gC57** Knowingly or recklessly publishing advertising material which is inaccurate or likely to mislead could also result in you being in breach of Rule rC19. You should be particularly careful about making comparisons with other persons as these may often be regarded as misleading. **gC58** If you carry out public access work but are not authorised to *conduct litigation*, you would breach Rule rC19 if you caused or permitted your *client* to be misled into believing that you are entitled to, or will, provide services that include the *conduct of litigation* on behalf of your *client*. **gC59** If you are a *self-employed barrister*, you would, for example, likely be regarded as having breached Rule rC19 if you charged at your own hourly rate for work done by a *devil* or *pupil*. Moreover, such conduct may well breach your duty to act with honesty and also with integrity (CD3). **gC60** If you are an *unregistered barrister*, you would breach Rule rC19 if you misled your *client *into thinking that you were providing *legal services* to them as a *barrister* or that you were subject to the same regulation as a *practising barrister*. You would also breach the rule if you implied that you were covered by insurance if you were not, or if you suggested that your *clients* could seek a remedy from the *Bar Standards Board* or the *Legal Ombudsman* if they were dissatisfied with the services you provided. You should also be aware of the rules set out in Section D4 of this Code of Conduct and the additional guidance for *unregistered barristers *available on the *Bar Standards Board* website. **gC61** Rule C19.3 is particularly relevant where you act in more than one capacity, for example as a *BSB authorised individual* as well as a manager or employee of an *authorised (non BSB) body*. This is because you should make it clear to each *client* in what capacity you are acting and, therefore, who has legal responsibility for the provision of the services. **gC62** If you are a *pupil*, you should not hold yourself out as a member of *chambers* or permit your name to appear as such. You should ensure the *client* understands your status. **gC63** A number of other rules impose positive obligations on you, in particular circumstances, to make clear your regulatory status and the basis and terms on which you are acting. See, for example, Rule rC23 and guidance gC74. Rule C20 - Personal responsibility Rules **rC20** Where you are a *BSB authorised individual*, you are personally responsible for your own conduct and for your professional work. You must use your own professional judgment in relation to those matters on which you are instructed and be able to justify your decisions and actions. You must do this notwithstanding the views of your *client*, *professional client*, *employer* or any other person. Guidance to Rule C20 Guidance **gC64** It is fundamental that *BSB authorised individuals* and *authorised (non-BSB) individuals* are personally responsible for their own conduct and for their own professional work, whether they are acting in a self-employed or employed capacity (in the case of *BSB authorised individuals*) or as an employee or *manager* of a *BSB entity* (in the case of *authorised (non-BSB) individuals*). **gC65** Nothing in Rule rC20 is intended to prevent you from delegating or outsourcing to any other person discrete tasks (for example, research) which such other person is well-equipped to provide. However, where such tasks are delegated or outsourced, you remain personally responsible for such work. Further, in circumstances where such tasks are being outsourced, Rule rC86 which deals with outsourcing, must be complied with. **gC66** You are responsible for the service provided by all those who represent you in your dealings with your *client*, including your clerks or any other employees or agents. **gC67** Nothing in this rule or guidance prevents a *BSB entity* from contracting on the basis that any civil liability for the services provided by a *BSB regulated individual* lies with the *BSB entity* and the *BSB regulated individual* is not to be liable. However, any such stipulation as to civil liability does not affect the regulatory obligations of the *BSB regulated individual* including (but not limited to) that of being personally responsible under Rule rC20 for the professional judgments made. **gC68** See, further, guidance to Rule rC19, as regards work by *pupils* and *devils* Rule rC15, gC124 and Rule rC86 (on outsourcing). Rule C21 - Accepting instructions Rules **rC21** You must not accept *instructions* to act in a particular matter if:.1 due to any existing or previous *instructions* you are not able to fulfil your obligation to act in the best interests of the prospective *client*; or.2 there is a conflict of interest, or real risk of conflict of interest, between your own personal interests and the interests of the prospective *client* in respect of the particular matter; or.3 there is a conflict of interest, or real risk of conflict of interest, between the prospective *client* and one or more of your former or existing *clients* in respect of the particular matter unless all of the *clients* who have an interest in the particular matter give their informed consent to your acting in such circumstances; or.4 there is a real risk that information confidential to another former or existing *client*, or any other person to whom you owe duties of confidence, may be relevant to the matter, such that if, obliged to maintain confidentiality, you could not act in the best interests of the prospective *client*, and the former or existing *client* or person to whom you owe that duty does not give informed consent to disclosure of that confidential information; or.5 your instructions seek to limit your ordinary authority or discretion in the conduct of proceedings in *court*; or.6 your instructions require you to act other than in accordance with law or with the provisions of this *Handbook*; or.7 you are not authorised and/or otherwise accredited to perform the work required by the relevant *instruction*; or.8 you are not competent to handle the particular matter or otherwise do not have enough experience to handle the matter; or.9 you do not have enough time to deal with the particular matter, unless the circumstances are such that it would nevertheless be in the *client's* best interests for you to accept; or.10 there is a real prospect that you are not going to be able to maintain your independence. Guidance to Rule C21 Guidance **gC69** Rules rC21.2, rC21.3 and rC21.4 are intended to reflect the law on conflict of interests and confidentiality and what is required of you by your duty to act in the *client's* best interests (CD2), independently (CD4), and maintaining *client* confidentiality (CD6). You are prohibited from acting where there is a conflict of interest between your own personal interests and the interests of a prospective *client*. However, where there is a conflict of interest between an existing *client* or *clients* and a prospective *client* or *clients* or two or more prospective *clients*, you may be entitled to accept instructions or to continue to act on a particular matter where you have fully disclosed to the relevant *clients* and prospective *clients* (as appropriate) the extent and nature of the conflict; they have each provided their informed consent to you acting; and you are able to act in the best interests of each *client* and independently as required by CD2 and CD4. **gC70** Examples of where you may be required to refuse to accept *instructions* in accordance with Rule rC21.7 include:.1 where the *instructions* relate to the provision of litigation services and you have not been authorised to *conduct litigation* in accordance with the requirements of this *Handbook*;.2 removed.3 where the matter would require you to conduct correspondence with parties other than your *client* (in the form of letters, faxes, emails or the like), you do not have adequate systems, experience or resources for managing appropriately such correspondence and/or you do not have adequate insurance in place in accordance with Rule rC75 which covers, amongst other things, any loss suffered by the *client* as a result of the conduct of such correspondence. **gC71** Competency and experience under Rule rC21.8 includes your ability to work with vulnerable *clients*. **gC72** Rule rC21.9 recognises that there may be exceptional circumstances when *instructions *are delivered so late that no suitable, competent advocate would have adequate time to prepare. In those cases you are not required to refuse *instructions* as it will be in the *client's *best interests that you accept. Indeed, if you are obliged under the cab rank rule to accept the *instructions*, you must do so. **gC73** Rule rC21.10 is an aspect of your broader obligation to maintain your independence (CD4). Your ability to perform your duty to the *court* (CD1) and act in the best interests of your *client* (CD2) may be put at risk if you act in circumstances where your independence is compromised. Examples of when you may not be able to maintain your independence include appearing as an advocate in a matter in which you are likely to be called as a witness (unless the matter on which you are likely to be called as a witness is peripheral or minor in the context of the litigation as a whole and is unlikely to lead to your involvement in the matter being challenged at a later date). If it appears that you are likely to be a witness on a material question of fact, and therefore must withdraw from a case as there is a real prospect that you are not going to be able to maintain your independence (Rules C21.10 and C25), you must also comply with Rule C27. **gC74** Where the *instructions* relate to public access or licensed access work and you are a *self-employed barrister* you will also need to have regard to the relevant rules at 2.D2. If you are a *BSB entity*, you should have regard to the guidance to Rule S28. Rules C22-C24 - Defining terms or basis on which instructions are accepted Rules **rC22** Where you first accept *instructions* to act in a matter:.1 you must, subject to Rule rC23, confirm in writing acceptance of the *instructions* and the terms and/or basis on which you will be acting, including the basis of charging;.2 where your instructions are from a *professional client*, the confirmation required by rC22.1 must be sent to the *professional client*;.3 where your instructions are from a *client*, the confirmation required by rC22.1 must be sent to the *client*..4 if you are a *BSB entity*, you must ensure that the terms under which you accept instructions from *clients* include consent from clients to disclose and give control of files to the *Bar Standards Board* or its agent in circumstances where the conditions in rS113.5 are met. **rC23** In the event that, following your acceptance of the *instructions* in accordance with Rule rC22, the scope of the *instructions* is varied by the relevant *client* (including where the *client* instructs you on additional aspects relating to the same matter), you are not required to confirm again in writing acceptance of the instructions or the terms and/or basis upon which you will be acting. In these circumstances, you will be deemed to have accepted the instructions when you begin the work, on the same terms or basis as before, unless otherwise specified. **rC24** You must comply with the requirements set out in Rules rC22 and rC23 before doing the work unless that is not reasonably practicable, in which case you should do so as soon as reasonably practicable. Guidance to Rules C22-C24 Guidance **gC75** Compliance with the requirement in Rule rC22 to set out the terms and/or basis upon which you will be acting may be achieved by including a reference or link to the relevant terms in your written communication of acceptance. You may, for example, refer the *client* or *professional client* (as the case may be) to the terms of service set out on your website or to standard terms of service set out on the *Bar Council's* website (in which regard, please also refer to the guidance on the use of the standard terms of service). Where you agree to do your work on terms and conditions that have been proposed to you by the *client* or by the *professional client*, you should confirm in writing that that is the basis on which your work is done. Where there are competing sets of terms and conditions, which terms have been agreed and are the basis of your retainer will be a matter to be determined in accordance with the law of contract. **gC76** Your obligation under Rule rC23 is to ensure that the basis on which you act has been defined, which does not necessarily mean governed by your own contractual terms. In circumstances where Rule rC23 applies, you should take particular care to ensure that the *client* is clear about the basis for charging for any variation to the work where it may be unclear. You must also ensure that you comply with the requirements of the Provision of Services Regulations 2009. See, further Rule rC19 (not misleading *clients* or prospective *clients*) and the guidance to that rule at gC52 to gC62. **gC77** If you are a *self-employed barrister* a clerk may confirm on your behalf your acceptance of *instructions* in accordance with Rules rC22 and rC23 above. **gC78** When accepting instructions, you must also ensure that you comply with the complaints handling rules set out in Section 2.D. **gC79** When accepting instructions in accordance with Rule rC22, confirmation by email will satisfy any requirement for written acceptance. **gC80** You may have been instructed in relation to a discrete and finite task, such as to provide an opinion on a particular issue, or to provide ongoing services, for example, to conduct particular litigation. Your confirmation of acceptance of instructions under Rule rC22 should make clear the scope of the *instructions* you are accepting, whether by cross-referring to the *instructions*, where these are in writing or by summarising your understanding of the scope of work you are instructed to undertake. **gC81** Disputes about costs are one of the most frequent *complaints*. The provision of clear information before work starts is the best way of avoiding such *complaints*. The *Legal Ombudsman* has produced a useful guide "An Ombudsman's view of good costs service" which can be found on its website. **gC82** Where the *instructions* relate to public access or licensed access work and you are a *self-employed barrister*, you will also need to have regard to the relevant rules at 2.D2. If you are a *BSB entity*, you should have regard to the guidance to Rule S28. Rules C25-C26 - Returning instructions Rules **rC25** Where you have accepted *instructions* to act but one or more of the circumstances set out in Rules rC21.1 to rC21.10 above then arises, you must cease to act and return your *instructions* promptly. In addition, you must cease to act and return your *instructions* if:.1 in a case funded by the *Legal Aid Agency* as part of Criminal Legal Aid or Civil Legal Aid it has become apparent to you that this funding has been wrongly obtained by false or inaccurate information and action to remedy the situation is not immediately taken by your *client*; or.2 the *client* refuses to authorise you to make some disclosure to the *court* which your duty to the *court* requires you to make; or.3 you become aware during the course of a case of the existence of a document which should have been but has not been disclosed, and the *client* fails to disclose it or fails to permit you to disclose it, contrary to your advice. **rC26** You may cease to act on a matter on which you are instructed and return your *instructions* if:.1 your professional conduct is being called into question; or.2 the *client* consents; or.3 you are a *self-employed barrister* and:.a despite all reasonable efforts to prevent it, a hearing becomes fixed for a date on which you have already entered in your professional diary that you will not be available; or.b illness, injury, pregnancy, childbirth, a bereavement or a similar matter makes you unable reasonably to perform the services required in the *instructions*; or.c you are unavoidably required to attend on jury service;.4 you are a *BSB entity* and the only appropriate *authorised individual(s)* are unable to continue acting on the particular matter due to one or more of the grounds referred to at Rules rC26.3.a to rC26.3.c above occurring;.5 you do not receive payment when due in accordance with terms agreed, subject to Rule rC26.7 (if you are conducting litigation) and in any other case subject to your giving reasonable notice requiring the non-payment to be remedied and making it clear to the *client* in that notice that failure to remedy the non-payment may result in you ceasing to act and returning your *instructions* in respect of the particular matter; or.6 you become aware of confidential or privileged information or documents of another person which relate to the matter on which you are instructed; or.7 if you are conducting litigation, and your *client* does not consent to your ceasing to act, your application to come off the record has been granted; or.8 there is some other substantial reason for doing so (subject to Rules rC27 to rC29 below). Guidance to Rule C26 Guidance **gC83** In deciding whether to cease to act and to return existing instructions in accordance with Rule rC26, you should, where possible and subject to your overriding duty to the *court*, ensure that the *client* is not adversely affected because there is not enough time to engage other adequate legal assistance. **gC84** If you are working on a referral basis and your *professional client* withdraws, you are no longer instructed and cannot continue to act unless appointed by the *court*, or you otherwise receive new instructions. You will not be bound by the cab rank rule if appointed by the court. For these purposes working on a "referral basis" means where a *professional client* instructs a *BSB authorised individual* to provide *legal services* on behalf of one of that *professional client's* own clients **gC85** You should not rely on Rule rC26.3 to break an engagement to supply legal services so that you can attend or fulfil a non-professional engagement of any kind other than those indicated in Rule rC26.3. **gC86** When considering whether or not you are required to return instructions in accordance with Rule rC26.6 you should have regard to relevant case law including: English & American Insurance Co Ltd & Others -v- Herbert Smith; ChD 1987; (1987) NLJ 148 and Ablitt -v- Mills & Reeve (A Firm) and Another; ChD (Times, 24-Oct-1995). **gC87** If a fundamental change is made to the basis of your remuneration, you should treat such a change as though your original instructions have been withdrawn by the *client* and replaced by an offer of new *instructions* on different terms. Accordingly:.1 you must decide whether you are obliged by Rule rC29 to accept the new *instructions*;.2 if you are obliged under Rule rC29 to accept the new *instructions*, you must do so;.3 if you are not obliged to accept the new *instructions*, you may decline them;.4 if you decline to accept the new *instructions* in such circumstances, you are not to be regarded as returning your *instructions*, nor as withdrawing from the matter, nor as ceasing to act, for the purposes of Rules rC25 to rC26, because the previous *instructions* have been withdrawn by the *client*. Rule C27 Rules **rC27** Notwithstanding the provisions of Rules rC25 and rC26, you must not:.1 cease to act or return *instructions* without either:.a obtaining your *client's* consent; or.b clearly explaining to your *client* or your *professional client* the reasons for doing so; or.2 return instructions to another person without the consent of your *client* or your *professional client*. Rule C28 - Requirement not to discriminate Rules **rC28** You must not withhold your services or permit your services to be withheld:.1 on the ground that the nature of the case is objectionable to you or to any section of the public;.2 on the ground that the conduct, opinions or beliefs of the prospective client are unacceptable to you or to any section of the public;.3 on any ground relating to the source of any financial support which may properly be given to the prospective *client* for the proceedings in question. Guidance to Rule C28 Guidance **gC88** As a matter of general law you have an obligation not to discriminate unlawfully as to those to whom you make your services available on any of the statutorily prohibited grounds such as gender or race. See the Equality Rules in the BSB Handbook and the BSB's website for guidance as to your obligations in respect of equality and diversity. This rule of conduct is concerned with a broader obligation not to withhold your services on grounds that are inherently inconsistent with your role in upholding access to justice and the rule of law and therefore in this rule "discriminate" is used in this broader sense. This obligation applies whether or not the *client* is a member of any protected group for the purposes of the Equality Act 2010. For example, you must not withhold services on the ground that any financial support which may properly be given to the prospective *client* for the proceedings in question will be available as part of Criminal Legal Aid and Civil Legal Aid. Rules C29-C30 - The cab rank rule Rules **rC29** If you receive *instructions* from a *professional client*, and you are:.1 a *self-employed barrister* instructed by a *professional client*; or.2 an *authorised individual* working within a *BSB entity*; or.3 a *BSB entity* and the *instructions* seek the services of a named *authorised individual* working for you, and the *instructions* are appropriate taking into account the experience, seniority and/or field of practice of yourself or (as appropriate) of the named *authorised individual* you must, subject to Rule rC30 below, accept the *instructions* addressed specifically to you, irrespective of:.a the identity of the *client*;.b the nature of the case to which the *instructions* relate;.c whether the *client* is paying privately or is publicly funded; and.d any belief or opinion which you may have formed as to the character, reputation, cause, conduct, guilt or innocence of the *client*. **rC30** The cab rank Rule rC29 does not apply if:.1 you are required to refuse to accept the *instructions* pursuant to Rule rC21; or.2 accepting the *instructions* would require you or the named *authorised individual* to do something other than in the course of their ordinary working time or to cancel a commitment already in their diary; or.3 the potential liability for professional negligence in respect of the particular matter could exceed the level of professional indemnity insurance which is reasonably available and likely to be available in the market for you to accept; or.4 you are a King's Counsel, and the acceptance of the *instructions* would require you to act without a junior in circumstances where you reasonably consider that the interests of the *client* require that a junior should also be instructed; or.5 accepting the *instructions* would require you to do any *foreign work*; or.6 accepting the *instructions* would require you to act for a *foreign lawyer* (other than a *European lawyer*, a lawyer from a country that is a member of EFTA, a *solicitor* or *barrister* of Northern Ireland or a *solicitor* or advocate under the law of Scotland); or.7 the *professional client*:.a is not accepting liability for your fees; or.b represents, in your reasonable opinion, an unacceptable credit risk; or.c is instructing you as a lay *client* and not in their capacity as a *professional client*; or.8 you have not been offered a proper fee for your services (except that you shall not be entitled to refuse to accept *instructions* on this ground if you have not made or responded to any fee proposal within a reasonable time after receiving the *instructions*); or.9 except where you are to be paid directly by (i) the *Legal Aid Agency* as part of the Community Legal Service or the Criminal Defence Service or (ii) the Crown Prosecution Service:.a your fees have not been agreed (except that you shall not be entitled to refuse to accept *instructions* on this ground if you have not taken reasonable steps to agree fees within a reasonable time after receiving the *instructions*);.b having required your fees to be paid before you accept the *instructions*, those fees have not been paid;.c accepting the *instructions* would require you to act other than on (A) the Standard Contractual Terms for the Supply of Legal Services by Barristers to Authorised Persons 2020 as published on the *Bar Council's* website; or (B) if you publish standard terms of work, on those standard terms of work. Guidance to Rules C29-C30 Guidance **gC89** Rule rC30 means that you would not be required to accept *instructions* to, for example, *conduct litigation* or attend a police station in circumstances where you do not normally undertake such work or, in the case of litigation, are not authorised to undertake such work. **gC90** In determining whether or not a fee is proper for the purposes of Rule C30.8, regard shall be had to the following:.1 the complexity length and difficulty of the case;.2 your ability, experience and seniority; and.3 the expenses which you will incur. **gC91** Further, you may refuse to accept instructions on the basis that the fee is not proper if the instructions are on the basis that you will do the work under a *conditional fee agreement* or damages based agreement. **gC91A** Examples of when you might reasonably conclude (subject to the following paragraph) that a *professional client* represents an unacceptable credit risk for the purposes of Rule C30.7.b include:.1 Where they are included on the *Bar Council's* List of Defaulting Solicitors;.2 Where to your knowledge a *barrister* has obtained a judgment against a *professional client*, which remains unpaid;.3 Where a firm or sole practitioner is subject to insolvency proceedings, an individual voluntary arrangement or partnership voluntary arrangement; or.4 Where there is evidence of other unsatisfied judgments that reasonably call into question the *professional client's* ability to pay your fees. Even where you consider that there is a serious credit risk, you should not conclude that the *professional client* represents an unacceptable credit risk without first considering alternatives. This will include considering whether the credit risk could be mitigated in other ways, for example by seeking payment of the fee in advance or payment into a third party payment service as permitted by rC74, rC75 and associated guidance. **gC91B** The standard terms referred to in Rule C30.9.c may be drafted as if the *professional client* were an *authorised person* regulated by the Solicitors Regulation Authority (SRA). However, the cab rank rule applies (subject to the various exceptions in Rule C30) to instructions from any *professional client*, therefore you may be instructed under the cab rank rule by *authorised persons* who are regulated by another *approved regulator*. The BSB expects all *authorised persons* to be able to access the cab rank rule on behalf of their *clients* in the same way. Therefore, if you are instructed by an *authorised person* who is not regulated by the SRA, you are obliged to act on the same terms. You should therefore apply the standard terms referred to in Rule C30.9.c as if (i) the definition of *professional client* includes that *authorised person*, and (ii) any references to the SRA or its regulatory arrangements are references to that person's *approved regulator* and its regulatory arrangements. Rules C31-C63 Rules Removed. **Part 2 - C4. You and your regulator** Rules Outcomes C21-C23 Outcomes **oC21** *BSB regulated persons* are effectively regulated. **oC22** The public have confidence in the proper regulation of *persons* regulated by the *Bar Standards Board*. **oC23** The *Bar Standards Board* has the information that it needs in order to be able to assess risks and regulate effectively and in accordance with the *regulatory objectives*. Rule C64 - Provision of information to the Bar Standards Board Rules **rC64** You must:.1 promptly provide all such information to the *Bar Standards Board* as it may, for the purpose of its regulatory functions, from time to time require of you, and notify it of any material changes to that information;.2 comply in due time with any decision or sentence imposed by the *Bar Standards Board*, a *Disciplinary Tribunal*, the High Court, the *First Tier Tribunal*, an *interim panel*, a *review panel*, an *appeal panel*, an *Independent Decision-Making Panel* or a *Fitness to Practise Panel*;.3 if you are a *BSB entity* or an *owner* or *manager* of a *BSB entity* and the conditions outlined in rS113.5 apply, give the *Bar Standards Board* whatever co-operation is necessary:.4 comply with any notice sent by the *Bar Standards Board* or its agent; and.5 register within 28 days if you undertake work in the Youth Court if you did not register when applying for a practising certificate. Guidance to Rule C64 Guidance **gC92** Your obligations under Rule rC64 include, for example, responding promptly to any request from the *Bar Standards Board* for comments or information relating to any matter whether or not the matter relates to you, or to another *BSB regulated person* or *unregistered barrister*. **gC92A** A notice under rC64.4 refers to a notice under any part of the Legal Services Act 2007, or the Legal Services Act 2007 (General Council of the Bar) (Modification of Functions) Order 2018. **gC93** The documents that you are required to disclose pursuant to Rule C64 may include client information that is subject to legal professional privilege. Pursuant to R (Morgan Grenfell & Co Ltd) v Special Commissioner \[2003\] 1 A.C. 563, referred to in R (Lumsdon) v Legal Services Board \[2014\] EWHC 28 (Admin) at \[73\], the BSB is entitled to serve you with a notice for production of those documents. Where you are being required to report serious misconduct by others and legal professional privilege applies, this will override the requirement to report serious misconduct by another. However, the BSB may subsequently serve you with a notice for production of documents in which case the same principles set out above apply. For the avoidance of doubt, none of this casts any doubt on your entitlement to withhold from the BSB any material that is subject to your own legal privilege (such as legal advice given to you about your own position during a BSB investigation). Rule C65 - Duty to report certain matters to the Bar Standards Board Rules **rC65** You must report promptly to the *Bar Standards Board* if:.1 you are charged with an *indictable offence*; in the jurisdiction of England and Wales or with a *criminal offence* of comparable seriousness in any other jurisdiction;.2 subject to the Rehabilitation of Offenders Act 1974 (as amended) you are convicted of, or accept a caution, for any *criminal offence*, in any jurisdiction, other than a *minor criminal offence*;.3 you (or an entity of which you are a *manager*) to your knowledge are the subject of any disciplinary or other regulatory or enforcement action by another *Approved Regulator* or other regulator, including being the subject of disciplinary proceedings;.4 you are a *manager* of a *regulated entity* (other than a *BSB entity*) which is the subject of an intervention by the *approved regulator* of that body;.5 you are a *registered European lawyer* and:.a to your knowledge any investigation into your conduct is commenced by your home regulator; or.b any finding of professional misconduct is made by your home regulator; or.c your authorisation in your *home state* to pursue professional activities under your *home professional title* is withdrawn or *suspended*; or.d you are charged with a disciplinary offence..6 any of the following occur:.a bankruptcy proceedings are initiated in respect of or against you;.b *director's disqualification* proceedings are initiated against you;.c a *bankruptcy order* or *director's disqualification order* is made against you;.d you have made a composition or arrangement with, or granted a trust deed for, your creditors;.e winding up proceedings are initiated in respect of or against you;.f you have had an administrator, administrative receiver, receiver or liquidator appointed in respect of you;.g administration proceedings are initiated in respect of or against you;.7 you have committed serious misconduct;.8 you become authorised to *practise* by another *approved regulator*. Guidance to Rule C65 Guidance **gC94** In circumstances where you have committed serious misconduct you should take all reasonable steps to mitigate the effects of such serious misconduct. **gC94.1** For the avoidance of doubt rC65.2 does not oblige you to disclose cautions or criminal convictions that are "spent" under the Rehabilitation of Offenders Act 1974 unless the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 (SI 1975/1023) applies. However, unless the caution or conviction is immediately spent, you must notify the BSB before it becomes spent. Rules C66-C69 - Reporting serious misconduct by others Rules **rC66** Subject to your duty to keep the affairs of each *client* confidential and subject also to Rules rC67 and rC68, you must report to the *Bar Standards Board* if you have reasonable grounds to believe that there has been serious misconduct by a *barrister* or a *registered European lawyer*, a *BSB entity*, *manager* of a *BSB entity* or an *authorised (non-BSB) individual* who is working as a *manager* or an employee of a *BSB entity*. **rC67** You must never make, or threaten to make, a report under Rule rC66 without a genuine and reasonably held belief that Rule rC66 applies. **rC68** You are not under a duty to report serious misconduct by others if:.1 you become aware of the facts giving rise to the belief that there has serious misconduct from matters that are in the public domain and the circumstances are such that you reasonably consider it likely that the facts will have come to the attention of the *Bar Standards Board*; or.2 you are aware that the person that committed the serious misconduct has already reported the serious misconduct to the Bar Standards Board; or.3 the information or documents which led to you becoming aware of that other person's serious misconduct are subject to legal professional privilege; or.4 you become aware of such serious misconduct as a result of your work on a *Bar Council* advice line. **rC69** You must not victimise anyone for making in good faith a report under Rule C66. Guidance to Rules C65.7-C68 Guidance **gC95** It is in the public interest that the *Bar Standards Board*, as an *Approved Regulator*, is made aware of, and is able to investigate, potential instances of serious misconduct. The purpose of Rules rC65.7 to rC69, therefore, is to assist the *Bar Standards Board* in undertaking this regulatory function. **gC96** Serious misconduct includes, without being limited to:.1 dishonesty (CD3);.2 assault or harassment (CD3 and/or CD5 and/or CD8);.3 seeking to gain access without consent to *instructions* or other confidential information relating to the opposing party's case (CD3 and/or CD5); or.4 seeking to gain access without consent to confidential information relating to another member of *chambers*, member of staff or *pupil* (CD3 and/or CD5);.5 encouraging a witness to give evidence which is untruthful or misleading (CD1 and/or CD3);.6 knowingly or recklessly misleading, or attempting to mislead, the *court* or an opponent (CD1 and/ or CD3); or.7 being drunk or under the influence of drugs in *court* (CD2 and/or CD7); or.8 failure to report promptly to the *Bar Standards Board* pursuant to rC65.1-rC65.5 and/or rC66 above or if;  *director's disqualification* proceedings are initiated against you; a *director's disqualification *order is made against you; winding up proceedings are initiated in respect of or against you; you have had an administrator, administrative receiver, receiver or liquidator appointed in respect of you; administration proceedings are initiated in respect of or against you;.9 a breach of rC67 above; for example, reporting, or threatening to report, another* person* as a litigation tactic or otherwise abusively; or merely to please a *client* or any other *person* or otherwise for an improper motive; .10 conduct that poses a serious risk to the public. **gC97** If you believe (or suspect) that there has been serious misconduct, then the first step is to carefully consider all of the circumstances. The circumstances include:.1 whether that person's *instructions* or other confidential matters might have a bearing on the assessment of their conduct;.2 whether that person has been offered an opportunity to explain their conduct, and if not, why not;.3 any explanation which has been or could be offered for that person's conduct;.4 whether the matter has been raised, or will be raised, in the litigation in which it occurred, and if not, why not. **gC98** Having considered all of the circumstances, the duty to report arises if you have reasonable grounds to believe there has been serious misconduct. This will be so where, having given due consideration to the circumstances, including the matters identified at Guidance gC97, you have material before you which as it stands establishes a reasonably credible case of serious misconduct. Your duty under Rule rC66 is then to report the potential instance of serious misconduct so that the *Bar Standards Board* can investigate whether or not there has in fact been misconduct. **gC99** Circumstances which may give rise to the exception from the general requirement to report serious misconduct set out in Rule rC68.1 include for example where misconduct has been widely reported in the national media. In these circumstances it would not be in the public interest for every *BSB regulated person* and *unregistered barrister* to have an obligation to report such serious misconduct. **gC100** In Rule rC68.4 "work on the *Bar Council* advice line" means:.1 dealing with queries from *BSB regulated persons* and *unregistered barristers* who contact an advice line operated by the *Bar Council* for the purposes of providing advice to those persons; and.2 either providing advice to *BSB regulated persons* and *unregistered barristers* in the course of working for an advice line or to any individual working for an advice line where (i) you are identified on the list of *BSB regulated persons* maintained by the *Bar Council* as being permitted to provide such advice (the "approved list"); and (ii) the advice which you are being asked to provide to the individual working for an advice line arises from a query which originated from their work for that service; and.3 providing advice to *BSB regulated persons* and *unregistered barristers* where any individual working for an advice line arranges for you to gi