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ETHICS
DUTIES OF IN-HOUSE COUNSEL
www.lsbc.vic.gov.au
OUTLINE• Who is the Regulator?
• In-House Counsel: common ethical challenges– Undertakings– Confidentiality– Legal Professional Privilege– Conflict of Interest– Conduct
www.lsbc.vic.gov.au
• Victorian Legal Services Board and Commissioner - independent statutory entities - regulate lawyers
• Consumer interests dominate
• Two bodies; work as one
www.lsbc.vic.gov.au
Who is the Regulator?
Legal Services Board
• Financial management, licensing and standards
• Protection of consumers
• Oversight of trust accounts
www.lsbc.vic.gov.au
Legal Services Commissioner
• Handle complaints and look at systemic issues
• Educate the legal profession
• Educate the community
www.lsbc.vic.gov.au
Undertakings
• Sacrosanct: RPA Alert #8, LSB/LSC February 2014
• Promises of action, either explicit or implicit, must be honoured
• Failure undermines trust and reputation
• Officer of the court
www.lsbc.vic.gov.au
Undertakings
• Rules 22 & 27 - Professional Conduct and Practice Rules 2005 – breach may constitute misconduct
• 2013 – 4 lawyers guilty of misconduct for failing to deliver on undertakings
• Legal Services Commissioner v Kaine (Legal Practice) [2013] VCAT 1077 - breach of an undertaking to another solicitor
www.lsbc.vic.gov.au
Confidentiality
Fundamental duty from 3 sources:
– Professional Conduct and Practice Rules 2005: rules 1.1 & 3
– Retainer contract obliges confidentiality
– Equitable doctrine that a confidant must not use information for purposes inconsistent with its communication
www.lsbc.vic.gov.au