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E-raamat: Law of Solicitors Liabilities

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  • Formaat: 1304 pages
  • Ilmumisaeg: 13-Aug-2020
  • Kirjastus: Bloomsbury Professional
  • Keel: eng
  • ISBN-13: 9781526505316
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Law of Solicitors LiabilitiesSuurem pilt
  • Formaat: 1304 pages
  • Ilmumisaeg: 13-Aug-2020
  • Kirjastus: Bloomsbury Professional
  • Keel: eng
  • ISBN-13: 9781526505316
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Solicitors' Negligence and Liability provides a comprehensive guide to all aspects of solicitors' negligence, liability in equity and wasted costs. Written by leading practitioners in the field, it deals with a variety of topics, from general principles to specific situations, providing practical guidance to the procedural aspects of bringing and defending a claim for solicitors' negligence. The fourth edition includes: - A new chapter on insurance law focusing on a number of key topics which arise, particularly in relation to solicitors' insurance: aggregation; condonation; definition of private legal practice; notification; possibly successor practice rules. - A new section aimed at people who run solicitors' firms, covering: Establishing and terminating a retainer; Reducing scope of liability, and moulding fiduciary duties, at the start of the retainer; Money laundering, including due diligence on clients; Terms and conditions; Cross referencing to identity fraud in other chapters. - Updated case law to cover all recent Supreme Court and Court of Appeal decisions, eg Hughes-Holland v BPE (Supreme Court) scope of duty and extent of damages; Redler v AIB (Supreme Court): breach of trust; Lowick Rose v Swynson (Supreme Court): lifting the corporate veil in claims against professionals; Tiuta International v de Villiers (Court of Appeal): lenders' claims, impact of a remortgage on damages; Wellesley v Withers (Court of Appeal): test for remoteness of damage; and E Surv v Goldsmith Williams (Court of Appeal): implied duty on solicitors in lenders' claims. - Regulatory/disciplinary developments, eg revised SRA Code of Conduct.

Arvustused

This is a book which has gone from strength to strength. * The Commonwealth Lawyer * The book is both succinct and comprehensive, and I shall have no hesitation in making it my first port of call when required to research a knotty point about solicitors. * Gregory Treverton-Jones QC, The Law Society Gazette *

Muu info

Written by leading practitioners The Law of Solicitors' Liabilities, previously known as Solicitors' Negligence and Liability, is an established, comprehensive and practical text covering all aspects of solicitors liability, from solicitors negligence to liability in equity and wasted costs.
Preface v
Table of Statutes
xxvii
Table of Statutory Instruments
xxxiii
Table of Cases
xxxv
Section A Civil Law Claims
Part 1 General Principles
Chapter 1 The solicitor's duties in contract and tort
5(40)
A Duties in contract
5(23)
1 Introduction
5(6)
2 Exclusion or limitation of liability
11(4)
3 Formation and duration of the retainer
15(9)
4 The rule against reflective loss
24(4)
B Duty of care in tort
28(17)
1 Duty to the client
28(2)
2 Duty to third parties
30(3)
(a) Commercial transactions
33(3)
(b) Litigation
36(1)
(c) The beneficiary principle: White v Jones
37(3)
(d) An employee's duty of care
40(1)
(e) Exclusion of liability
41(2)
(i) Consumer notices
43(1)
(ii) Other notices
43(2)
Chapter 2 Breach of duty
45(37)
A The standard of care
45(26)
1 Introduction
45(3)
2 The standard of reasonable competence
48(1)
(a) Level of expertise
48(6)
(b) Level of fees
54(1)
(c) Knowledge of the law
54(2)
(d) Reliance on counsel's advice
56(1)
(e) Failure to obtain counsel's advice
57(1)
3 The relevance of professional standards and practice
58(1)
(a) Professional standards
58(3)
(b) Professional practice
61(3)
4 The admissibility of expert evidence
64(1)
(a) CPR Part 35
64(2)
(b) Solicitor experts
66(1)
5 Errors of judgment and slips
67(4)
B The extent of the duty to advise
71(11)
1 Introduction
71(1)
2 The nature of the client
71(2)
3 The nature of the task
73(1)
(a) Duty to clarify instructions
73(1)
(b) Duty to confirm instructions in writing
73(2)
(c) Duty to confirm instructions in person
75(1)
(d) The nature of the advice
76(2)
(e) The extent of the advice
78(4)
Chapter 3 Causation and quantum of damages in contract and tort
82(62)
A Introduction
82(1)
B Factual causation
83(15)
1 The `but for' test
83(1)
(a) The normal rule
83(1)
(b) Concurrent or competing causes
84(1)
(c) Chester v Afshar
85(1)
(d) Misrepresentation cases
86(1)
2 How would the defendant have acted?
87(2)
3 How would the claimant have acted?
89(1)
(a) General test
89(1)
(b) Burden of proof
90(1)
4 How would third parties have acted? Damages for the loss of a chance
90(1)
(a) The loss of a chance doctrine
90(1)
(b) In which type of case must the doctrine be applied?
91(3)
(c) Does the doctrine apply where the third party has given evidence?
94(1)
(d) Claimants must show that their hypothetical behaviour would have been honest
95(1)
(e) Parties closely aligned to the claimant
95(1)
(f) Burden of proof -- loss of speculative or negligible chances
96(1)
(g) Linked risks and independent risks
97(1)
(h) When should the court give the claimant the benefit of the doubt?
97(1)
(i) Examples of commercial transaction cases
98(1)
C The SAAMCo principle: extent of the defendant's liability
98(18)
1 General approach
98(2)
2 In which type of case must the SAAMCo principle be applied?
100(1)
3 The SAAMCo principle in summary
101(1)
4 `Advice' cases and `information' cases
102(3)
5 The counter-factual: would the loss have been suffered if the information which the solicitor negligently provided had been true?
105(1)
6 Is there a further SAAMCo filter?
106(2)
7 The burden of proof
108(1)
8 Failure to report a fact which was fundamental to the claimant's decision to proceed
109(1)
9 New intervening causes and alternative causes
109(1)
(a) Claimant's conduct
110(2)
(b) Intervening acts of third parties
112(2)
(c) Defendant's conduct
114(1)
(d) Events
115(1)
D Remoteness of damage
116(10)
1 The test in contract rather than in tort is generally applied
116(1)
2 What is the test of remoteness in contract?
117(1)
(a) The orthodox approach
117(2)
(b) The contractual interpretation approach
119(2)
(c) Amalgam of the two approaches
121(1)
(d) Time at which the remoteness test should be applied
122(1)
3 Application of the contractual test of remoteness
123(3)
E Mitigation of damage
126(12)
1 General principles
126(2)
2 Reasonableness of bringing further litigation
128(2)
3 Recovery of costs if alternative litigation brought in mitigation
130(1)
4 Consequential benefits and `legal causation'
131(1)
(a) Two types of case: legal causation, and collateral benefits
131(1)
(b) The position in principle -- legal causation
131(2)
(c) The pre-Fulton professional negligence cases
133(4)
5 Collateral benefits
137(1)
F Date of assessment
138(5)
1 Is there a breach date rule?
138(1)
(a) The date of breach
138(1)
(b) The date of the transaction
139(2)
(c) The flexible approach
141(1)
2 The valuation method
142(1)
3 Conclusion as to date of assessment of damages
142(1)
G Damages for mental distress and psychiatric illness
143(1)
Chapter 4 Claims in equity
144(70)
A The relevance of equity
144(1)
B Breach of trust
144(24)
1 Express, implied and resulting trusts
144(1)
(a) Client funds
144(4)
(b) Third party funds
148(5)
(c) Conscious or deliberate breach of trust
153(1)
2 Constructive trusts
154(1)
(a) Dishonest assistance
155(1)
(i) The trust
156(1)
(ii) Breach of trust
157(1)
(iii) Assistance
158(1)
(iv) Dishonesty
159(4)
(b) Knowing or ministerial receipt
163(1)
(i) Disposal of assets in breach of fiduciary duty
164(1)
(ii) Beneficial receipt
165(1)
(iii) Knowledge
166(1)
(iv) Ministerial receipt
167(1)
C Breach of fiduciary duty
168(17)
1 Introduction
168(2)
2 Conflict of interest and duty
170(1)
(a) The general principle
170(1)
(b) The no profit rule
171(2)
(c) Abuse of confidence
173(1)
(d) Undue influence
174(1)
(e) Bribes and secret benefits
175(1)
(f) Professional conduct
175(1)
3 Conflict of duty and duty
176(1)
(a) Terminology
176(1)
(b) The double employment rule
177(3)
(c) The actual conflict rule
180(1)
(d) The no inhibition principle
181(2)
(e) The duty of good faith
183(2)
D Compensation in equity
185(20)
1 Introduction
185(1)
(a) The controversy: equitable account
185(3)
(b) The nature of the remedy
188(3)
2 Causation
191(1)
(a) Scope of the principle
191(3)
(b) The conduct of the claimant
194(1)
(c) The conduct of the defendant
195(1)
(d) The conduct of third parties
195(1)
(e) Scope of duty
196(1)
(f) Remoteness of damage
196(1)
(g) Contributory negligence
197(1)
(h) Mitigation
197(1)
3 Measure of compensation
198(1)
(a) Date of assessment
198(1)
(b) Changes in value
198(1)
4 Set off
199(1)
5 Interest
199(1)
(a) The equitable jurisdiction
199(2)
(b) Compound interest
201(1)
6 Section 61 of the Trustee Act 1925
202(1)
(a) Honesty
202(1)
(b) Reasonableness
203(1)
(c) Fairness
204(1)
E Limitation
205(9)
1 Introduction
205(1)
2 Express, implied and resulting trusts
206(1)
(a) Client funds
206(1)
(b) Third-party funds
207(1)
3 Constructive trusts
208(1)
(a) Dishonest assistance
208(1)
(b) Knowing or ministerial receipt
209(1)
4 Breach of fiduciary duty
209(1)
(a) General
209(2)
(b) The no profit rule
211(1)
(c) Abuse of confidence
212(1)
(d) Undue influence
212(1)
(e) Bribes and secret benefits
213(1)
Chapter 5 Authority, vicarious liability and undertakings
214(49)
A Authority
214(36)
1 Introduction
214(1)
2 Partners: authority to bind the firm
215(1)
(a) Section 5 of the Partnership Act 1890
215(2)
(i) Limb 1
217(3)
(ii) Limb 2
220(1)
(b) Section 10 of the Partnership Act 1890
221(2)
(c) Sections 11 and 13 of the Partnership Act 1890
223(1)
(d) Section 14 of the Partnership Act 1890
224(2)
3 LLPs: members' authority to bind the firm
226(1)
(a) Section 6(1) of the Limited Liability Partnership Act 2000
226(1)
(b) Section 6(2) of the Limited Liability Partnership Act 2000
227(1)
(c) Section 6(3) of the Limited Liability Partnership Act 2000
228(1)
(d) Section 6(4) of the Limited Liability Partnership Act 2000
229(1)
4 Employees: vicarious liability of the firm
230(1)
(a) General principles
230(3)
(b) Clients
233(1)
(c) Third parties
234(1)
5 Solicitors: authority to bind the client
234(1)
(a) Express authority
234(1)
(b) Implied or incidental authority
235(2)
(c) Ostensible authority
237(2)
6 Breach of warranty of authority
239(1)
(a) Basis of liability
239(2)
(b) Nature of the warranty
241(1)
(i) Litigation
241(2)
(ii) Identity fraud
243(2)
(iii) Exclusion of the warranty
245(1)
(c) Reliance
246(1)
(d) Compensation
247(1)
(i) Transactional cases
247(1)
(ii) Litigation cases: costs
248(1)
(c) Unauthorised proceedings
249(1)
B Undertakings
250(13)
1 The court's summary jurisdiction
250(2)
2 Construction and enforcement
252(1)
(a) Introduction
252(1)
(b) Construction
253(1)
(c) Capacity
254(1)
(d) Enforcement
255(2)
(e) Impossibility
257(1)
(f) Discretion
258(1)
(g) Compensation
259(1)
(h) Procedure
260(3)
Chapter 6 Solicitors' duties of confidentiality
263(70)
A Introduction
263(1)
B Confidentiality and legal professional privilege
264(6)
C The duty of confidentiality
270(40)
1 Sources of the duty
270(3)
2 Incidents of the duty
273(1)
(a) The duty post-dates the termination of the retainer
273(2)
(b) To whom is the duty owed?
275(1)
(c) The duty is absolute
276(2)
(d) The type of information protected
278(2)
(e) Source of the information
280(1)
3 The contents of the duty
281(3)
(a) Wrongful disclosure
284(5)
(b) Wrongful use
289(3)
(c) Burden of proof
292(1)
4 Multiple principals: conflicting duties of confidentiality and disclosure
293(1)
(a) Introduction
293(5)
(b) Acting for the borrower and lender
298(1)
(c) Acting for purchaser and vendor
299(2)
5 Overriding or releasing the duty
301(1)
(a) Greater duty to client
301(1)
(b) Public interest/iniquity
302(5)
(c) Proceedings against or by the solicitor
307(2)
(d) Statutory legal compulsion/right
309(1)
(e) Loss of confidentiality
310(1)
D Remedies
310(23)
1 Claim for an injunction by an existing or former client to protect confidential information
311(1)
(a) Bolkiah v KPMG
312(3)
(b) The Bolkiah test
315(3)
(c) Cases post-Bolkiah: adequacy of information barriers
318(2)
(d) Interim or final injunction
320(1)
(e) Claim brought by an existing client
321(2)
(f) The Solicitors' Code of Conduct
323(1)
2 Injunctions where confidential information learnt from `the other side'
324(1)
(a) Mistaken disclosure to the other side
324(2)
(b) Mediations
326(2)
(c) Documents disclosed to the other side pursuant to CPR Part 31
328(3)
(d) Arbitrations
331(1)
3 Other remedies
332(1)
Chapter 7 Limitation
333(53)
A Introduction
333(1)
B Claims at common law
333(29)
1 Personal injuries: claims in which a limitation period of only three years applies
335(2)
2 Contract
337(1)
(a) General rule
337(1)
(b) Continuing obligations
337(4)
3 The tort of negligence
341(3)
(a) Cases where a future contingency depresses the value of an asset
344(1)
(b) Cases where, absent negligence, the claimant would not have entered into a transaction at all
345(2)
(c) Cases where, absent negligence, the claimant would have entered into the same transaction but on better terms
347(4)
(d) Cases where the claimant's loss is purely dependent upon a contingency
351(2)
(e) Purchasers' cases
353(1)
(f) Identity fraud
354(1)
4 Lenders' claims: Nykredit
355(1)
(a) The basic comparison
355(2)
(b) Cause of action accruing before the borrower has defaulted
357(2)
5 Negligent conduct of litigation
359(2)
6 Wills and inheritance planning
361(1)
C Statutory extensions to the limitation period
362(23)
1 Limitation Act 1980, s 14A
362(1)
(a) Scope of s 14A
363(1)
(b) The `starting date'
363(2)
(c) Burden of proof
365(1)
(d) Degree of certainty required
365(1)
(e) Causation knowledge
366(8)
(f) Material facts knowledge
374(1)
(g) Constructive knowledge
375(3)
(h) Knowledge in relation to separate causes of action
378(1)
2 Limitation Act 1980, s 32
378(1)
(a) Fraud
379(1)
(b) Deliberate concealment (s 32(1)(b))
379(3)
(c) Deliberate commission of a breach of duty (s 32(2))
382(1)
(d) Mistake
383(1)
(e) Constructive knowledge
383(2)
D Contribution claims
385(1)
Chapter 8 Contributory negligence and contribution
386(31)
A Contributory negligence
386(11)
1 Introduction
386(1)
2 Scope: in what sort of claim is a defence of contributory negligence open to defendants?
386(1)
(a) The 1945 Act, and claims in negligence
386(1)
(b) Contract claims in general
387(2)
(c) Lenders' claims, and SAAMCo
389(4)
(d) Fraudulent and negligent misrepresentation; breach of warranty of authority
393(1)
(c) Fiduciary duty and breach of trust
393(1)
3 Application: making reductions in cases in which the defence of contributory negligence is available
394(1)
(a) General principles
394(2)
(b) Contributory negligence in claims against solicitors
396(1)
B Contribution
397(20)
1 Scope
397(1)
(a) General principles, including `same damage'
397(6)
(b) Restitution and knowing assistance in breach of trust
403(1)
(c) Settlements
404(4)
2 Application -- assessment of the amount of contribution
408(1)
(a) What figure is to be apportioned?
408(1)
(i) `The damage in question'
408(1)
(ii) Impact of remoteness
409(1)
(iii) Impact of contributory negligence
409(1)
(iv) Impact of SAAMCo
410(1)
(v) Impact of contractual limitation clause
411(1)
(vi) Costs figure to be apportioned
411(1)
(b) How should the resulting figure be apportioned between the parties?
411(6)
Part 2 Specific Claims
Chapter 9 Real Estate
417(73)
A Introduction
417(1)
B Acting for more than one party
417(27)
1 Acting for buyer and seller
417(1)
(a) Conduct
417(1)
(b) Equity: the double employment rule
418(1)
(c) Contract
419(1)
2 Obtaining the authority of the client or clients
420(1)
(a) Conduct rules
420(1)
(b) Contract
420(3)
(c) Tort
423(1)
3 Acting for mortgagors, mortgagees and sureties
424(1)
(a) Non est factum
424(1)
(b) Undue influence
425(2)
(i) The importance of legal advice
427(1)
(ii) Notice
427(1)
(iii) The lender's duty: pre-Etridge cases
428(1)
(iv) The lender's duty after Etridge
429(3)
(c) Acting for the guarantor alone
432(1)
(i) Liability to the guarantor
432(2)
(ii) Liability to the lender
434(1)
(d) Acting for the lender and borrower
435(1)
(i) Liability to the lender
435(3)
(ii) Liability to the guarantor
438(1)
(e) Acting for the lender alone
438(1)
4 Duties to third parties
439(1)
(a) Pre-contract inquiries
439(2)
(b) Certificates of title
441(2)
(c) Requisitions on title
443(1)
(d) Miscellaneous cases
443(1)
(e) Damages
444(1)
C Acting for the purchaser
444(33)
1 Duties before contract
444(1)
(a) Commercial advice
444(1)
(b) General advice
445(2)
(c) Searches and inquiries
447(1)
(i) Boundaries and dimensions
448(1)
(ii) Local authority searches
448(2)
(iii) Rates and tenancies
450(1)
(iv) Easements and restrictive covenants
451(1)
(d) Leasehold purchasers
452(1)
(i) User clauses
452(1)
(ii) Rent review
453(1)
(iii) Break clauses
453(1)
(iv) Alienation clauses
454(1)
2 Duties on exchange of contracts
454(2)
3 Duties post-contract
456(1)
(a) Searches and investigation of title
456(1)
(b) Encumbrances
456(1)
(c) Conditions
457(1)
(d) Occupiers
457(1)
(e) Further advice
458(1)
4 Duties on completion
458(4)
5 Illegality
462(1)
6 Damages
462(1)
(a) Introduction
462(2)
(b) Date of assessment
464(1)
(c) Measure of damage
465(1)
(i) Loss of opportunity to purchase
465(1)
(ii) Delayed purchase
466(1)
(iii) Defective purchase
467(1)
(1) The valuation method
467(4)
(2) The costs of extrication
471(1)
(3) Costs of cure
472(1)
(4) Costs of replacement
473(1)
(iv) Profit on resale
474(1)
(v) Alternative investment opportunity
475(1)
(d) Extent of liability
475(1)
(e) Damages for distress and inconvenience
476(1)
D Acting for the vendor
477(7)
1 Liability
477(1)
(a) Contract races
477(1)
(b) General advice
477(1)
(i) The sale price
478(1)
(ii) The deposit
478(1)
(iii) Overage clauses
479(1)
(iv) Tax
479(1)
(v) Sale and leaseback
479(1)
(c) Searches and inquiries
480(1)
(d) Leases
481(1)
(e) Making title
481(1)
2 Damages
482(1)
(a) Valuation method
482(1)
(b) Loss of a chance
482(1)
(c) Other cases
483(1)
(d) Trading losses
484(1)
E Particular kinds of property
484(6)
1 Lease renewals and extensions
484(1)
(a) Acting for tenants
484(2)
(b) Acting for landlords
486(1)
2 Options
487(1)
(a) Reminders
487(1)
(b) Exercise of the option
487(1)
(c) Damages
488(1)
(i) Grant of the option
488(1)
(ii) Exercise of the option
489(1)
Chapter 10 Lenders' claims
490(110)
A Contract and the tort of negligence
490(104)
1 Introduction and summary of key issues
490(1)
2 Factual background to lenders' claims
491(1)
(a) Value of the security
492(1)
(b) Value of the borrower's covenant
492(1)
(c) Lender's retainer of the solicitor
493(1)
(d) Sub-sales, back to back sales and direct payments
494(1)
(e) Identity fraud
495(1)
(f) Law Society and SRA Guidance
495(1)
3 The Lenders' Handbook and solicitors' regulation
496(3)
(a) The regime from 2007 until 2011 -- acting for lender and borrower
499(1)
(i) Individual and standard mortgages
499(1)
(ii) Standard mortgages -- property to be used only as borrower's residence
499(1)
(iii) Standard mortgages -- property not to be used only as borrower's residence
500(1)
(b) The regime from 2007 until 2011 -- acting for borrower only or for lender only
500(1)
(c) The SRA Codes of Conduct 2011 and 2019 -- acting for lender and borrower
501(1)
(i) 2011 Code -- Outcome 3.6
502(1)
(ii) 2011 Code -- Indicative Behaviour 3.7
503(1)
(iii) 2011 Code -- cases within IB(3.7)
504(1)
(iv) 2011 Code -- cases not within IB(3.7)
504(1)
(v) SRA Codes of Conduct for Individuals and for Firms 2019
505(3)
(d) Acting for lender only -- the position from July 2012
508(1)
4 Express contractual terms
508(2)
(a) Reporting sub-sales
510(1)
(i) Cases where the Lenders' Handbook and approved CoT do not apply
510(1)
(ii) Cases subject to the Lenders' Handbook or approved CoT
511(1)
(b) Discrepancies in the purchase price and direct payments
512(1)
(i) Cases where the Lenders' Handbook and approved CoT do not apply
512(4)
(ii) Cases subject to the Lenders' Handbook and/or approved CoT
516(2)
(c) Resident borrower
518(1)
(i) Cases where the Lenders' Handbook and approved CoT do not apply
518(1)
(ii) Cases subject to the Lenders' Handbook and/or approved CoT
519(1)
(d) Redemption of existing mortgages before completion
520(1)
(i) Cases where the Lenders' Handbook and approved CoT do not apply
520(1)
(ii) Cases subject to the Lenders' Handbook or approved CoT
520(1)
(e) Obligation to report material changes in circumstances
521(1)
(f) Failing to obtain proper security on completion
521(1)
(i) Cases where the Lenders' Handbook and approved CoT do not apply
521(2)
(ii) Cases subject to the Lenders' Handbook and/or approved CoT
523(1)
(g) Identity fraud
523(1)
(i) Cases where the Lenders' Handbook and approved CoT do not apply
523(2)
(ii) Cases subject to the Lenders' Handbook or approved CoT
525(5)
(h) Following Law Society or SRA guidance
530(1)
(i) Remaining issues in cases subject to the CML Lenders' Handbook or approved CoT
531(1)
(i) Conflicts of interest
531(1)
(ii) Terms of reporting
532(1)
(iii) Other occupiers, and guarantors
533(2)
(iv) Completion
535(1)
5 Liability for breach of implied contractual terms and in the tort of negligence
535(1)
(a) Matters relevant to the value of the security
536(1)
(i) The Bowerman duty
536(2)
(ii) Cases to which Part 1 of the Lenders' Handbook, or the approved CoT, apply
538(2)
(iii) Cases to which the Lenders' Handbook and approved CoT do not apply
540(2)
(b) Creditworthiness of the borrower
542(5)
(c) Implied waiver of confidentiality by the borrower
547(3)
(d) Information learnt from other transactions
550(1)
6 Forms of undertaking agreed between banks and the Law Society
551(1)
7 Causation
552(1)
(a) Proof of causation
552(4)
(b) Effect of intervening redemption of mortgage
556(2)
8 Basic or transactional loss
558(5)
(a) Interest
563(1)
9 Attributable loss
564(1)
(a) SAAMCo and valuers
565(1)
(b) Hughes-Holland v BPE
566(3)
(c) SAAMCo and interest
569(1)
(d) SAAMCo and solicitors
569(5)
(i) Loss not attributable to breach of duty
574(1)
(ii) Breach of duty relevant only to valuation of the property
575(2)
(iii) Breach of duty relevant to nature/value of borrower's covenant
577(2)
(iv) Exceptional cases: solicitor as adviser
579(1)
10 Contributory negligence
579(2)
(a) Levels of deduction for contributory negligence
581(1)
(b) Excessive LTVs
582(3)
(c) Non-status lending
585(1)
(d) Borrower known to lack integrity
586(1)
11 Mitigation
586(2)
12 Contribution
588(1)
13 Syndication and securitisation
589(1)
(a) Contract
589(1)
(i) Novation
589(1)
(ii) Sub-participation agreements
590(1)
(iii) Syndication and trust arrangements
591(1)
(iv) Securitisation
592(2)
(b) Tort
594(1)
B Fraud
594(1)
C Breach of warranty of authority and breach of undertaking
595(3)
D Actions for money had and received
598(1)
E Equity
598(2)
Chapter 11 Wills, estates and trusts
600(31)
A The preparation and execution of wills
600(24)
1 Duty of care
600(1)
(a) Claims involving a client's will or estate
600(1)
(b) The beneficiary principle
601(2)
(c) The scope of the duty
603(1)
(i) Proximity
603(1)
(ii) Object of the transaction
604(1)
(iii) Class of potential beneficiaries
605(1)
(iv) No other remedy
606(3)
2 Breach of duty
609(1)
(a) Preparation
609(2)
(b) Execution
611(1)
(c) Taking instructions
612(3)
(d) Notification of personal representatives or beneficiaries
615(1)
3 Claims brought by estates
616(1)
(a) Losses suffered during administration
616(1)
(b) Losses suffered on death
617(1)
(c) Inheritance tax losses
618(1)
(d) Derivative claims
618(2)
4 Damages
620(1)
(a) General principles
620(1)
(b) Costs
621(2)
(c) Rectification
623(1)
B Inter vivos trusts and dispositions
624(7)
1 Claims by trustees
624(2)
2 Claims by settlors
626(2)
3 Claims by beneficiaries
628(3)
Chapter 12 Litigation
631(56)
A Advocates' former immunity, and abuse of process
631(8)
1 Advocates' former immunity
631(1)
2 Abuse of process
631(1)
(a) Criminal cases
632(2)
(b) Civil cases
634(5)
B Liability
639(10)
1 Basic errors
641(1)
2 Funding and insurance
641(2)
3 Parties and statements of case
643(1)
4 Interlocutory applications
643(1)
5 Preparation for trial
644(1)
6 Advice on the merits, strategy and settlement
645(4)
7 Mediation
649(1)
8 At court and on appeal
649(1)
C Causation and assessment of damages
649(31)
1 General principles: loss of legal claims
649(1)
2 What is assessed on the balance of probabilities?
650(3)
3 Types of case in which damages are awarded for the loss of a chance
653(1)
(a) Due to solicitor's negligence claimant loses any chance of having a claim or part of a claim tried or settled
653(1)
(i) Loss of a chance evaluation
654(1)
(ii) Mount principles
655(5)
(iii) Nature of assessment of value of lost claim
660(4)
(b) Underlying claim settled but solicitor's negligence caused settlement at undervalue
664(2)
(c) Underlying claim tried but solicitor's negligence caused claimant to achieve worse result
666(2)
4 Trial or settlement?
668(1)
5 Civil cases: loss of a trial
669(1)
(a) Notional trial date
669(1)
(b) Evidence which would have been available at trial
669(4)
(c) State of law at notional trial date
673(1)
(d) Interaction of risks
674(1)
(e) Litigation risk
674(1)
(f) Nominal damages
675(1)
(g) Strong cases
675(1)
(h) Intermediate cases
676(1)
(i) Appeals
676(1)
(j) Costs, and weak cases
676(2)
(k) Enforcement
678(1)
6 Civil cases: losing a settlement or obtaining a worse settlement
678(1)
7 Criminal cases
679(1)
D Recoverable damage
680(3)
1 Consequential losses
680(1)
2 Mental distress and psychiatric illness
680(1)
(a) Mental distress
680(2)
(b) Psychiatric illness
682(1)
3 Costs and CRU certificates
682(1)
E Mitigation
683(4)
Part 3 Procedure
Chapter 13 Costs orders against solicitors
687(55)
A Bases for order
687(1)
B Wasted costs orders
688(43)
1 Scope
689(4)
2 Procedure
693(1)
(a) Procedural rules
693(1)
(b) Practice Direction
694(2)
(c) Stages of the application
696(1)
(d) A simple procedure
697(4)
(e) Appeal against refusal to make order
701(1)
(f) The impact of legal professional privilege
702(4)
(g) Timing and judge
706(1)
(h) Court initiating application
707(1)
(i) Applications by non-parties
707(1)
(j) Settlement
708(1)
(k) Interrelationship between wasted costs orders and orders for costs against LSC
708(1)
3 Basic requirements
709(1)
4 Improper acts and omissions
710(1)
5 Unreasonable acts and omissions
711(1)
(a) Agreeing expert evidence
712(1)
(b) Abuse of process and hopeless cases
712(4)
6 Negligent acts or omissions
716(1)
(a) Non-negligent conduct
717(2)
(b) Negligent conduct
719(3)
7 Reliance on counsel
722(2)
8 Relevance of public funding and conditional fee agreements
724(1)
9 Causation
725(2)
10 Justice in all the circumstances
727(1)
11 Contribution and indemnity
728(1)
12 Criminal law
728(3)
C Inherent jurisdiction over solicitors
731(2)
D Non-party costs orders
733(6)
E Court's powers on assessment of costs
739(3)
Chapter 14 Disclosure and privilege
742(45)
A Pre-action disclosure
742(17)
1 Introduction
742(1)
2 Production and inspection of documents
743(1)
(a) Ownership of a solicitor's file
743(1)
(b) The court's jurisdiction
744(1)
3 The protocol
745(1)
4 Dual retainers
746(1)
(a) Joint retainers
746(2)
(b) Multiple retainers
748(3)
(c) Joint interest privilege
751(2)
5 Solicitors' rights of disclosure
753(1)
(a) The position in the absence of client consent or waiver
753(3)
(b) When does the client waive privilege?
756(1)
(c) What is the scope of the waiver?
757(1)
(d) Who can waive?
758(1)
B Standard disclosure
759(28)
1 Introduction
759(1)
2 Relevance of other transactions
760(3)
3 Legal advice privilege
763(9)
4 The crime or fraud exception
772(2)
(a) Legal advice privilege
774(1)
(b) Litigation privilege
775(1)
5 Implied waiver of privilege
776(1)
(a) The defendant's files
776(2)
(b) Other solicitors
778(2)
(c) The extent of implied waiver
780(1)
(d) Counsel
781(1)
(e) Limitation defences
782(1)
(f) Damages
782(1)
(g) Settlements and compromises
783(4)
Section B Professional Regulation And Discipline
Chapter 15 The regulation of solicitors
787(26)
A Introduction
787(1)
1 Scope
787(1)
2 Terminology
787(1)
B Framework
788(11)
1 Legal Services Act 2007
788(1)
(a) `Reserved legal activity'
788(2)
(b) The Law Society
790(1)
(c) The SRA
791(1)
(d) Regulatory objectives
791(1)
2 Conduct rules 1999 to 2019
792(1)
(a) The Guide to the Professional Conduct of Solicitors
792(1)
(b) Solicitors Code of Conduct 2007
792(1)
(c) The SRA Handbook
792(1)
3 The SRA's Standards and Regulations 2019
793(2)
4 Regulated firms and individuals
795(1)
(a) Terminology
795(1)
(b) Solicitors
796(1)
(c) Recognised bodies
796(1)
(d) Licensed bodies
797(1)
(e) Managers
798(1)
(f) Employees
799(1)
(g) Interest holders
799(1)
C Conduct rules and civil liabilities
799(8)
1 Introduction
799(1)
2 Common law duties
800(1)
(a) Duty of care
800(2)
(b) Implied terms
802(2)
3 Statutory duties
804(2)
4 Breach of trust
806(1)
(a) The SRA Accounts Rules 2019
806(1)
(b) The terms of the trust
806(1)
D Redress
807(6)
1 Introduction
807(1)
2 The Legal Ombudsman
808(1)
(a) The scheme
808(1)
(b) Determinations
808(1)
(c) Investigative powers
809(1)
(d) Civil claims
810(1)
3 Other redress
810(1)
(a) Co-operation and accountability
810(1)
(b) Complaints handling
811(2)
Chapter 16 Disciplinary proceedings
813(61)
A The SRA: disciplinary action and investigations
813(27)
1 The SRA's disciplinary powers
813(1)
(a) Solicitors Act 1974
814(1)
(b) Administration of Justice Act 1985
815(1)
(c) Legal Services Act 2007
816(1)
(d) Other controls
817(1)
(e) SRA Regulatory and Disciplinary Procedure Rules 2019
817(1)
(f) Authorised decision makers
818(1)
(g) Jurisdiction
819(1)
(h) Procedure
820(1)
(i) Paper decisions
821(1)
(ii) Meetings and oral hearings
822(1)
(iii) Findings
823(1)
(i) Enforcement
824(1)
(j) Disclosure and publication
825(1)
(k) Review
825(1)
(l) Appeal
826(1)
(m) Costs of investigation
826(1)
(n) Regulatory Settlement Agreements
826(1)
2 SRA investigations
827(1)
(a) Co-operation and accountability
828(1)
(b) Commencing an investigation
829(1)
(c) Production notices
829(4)
(d) Explanations
833(1)
(e) Information offences
834(1)
(f) Legal professional privilege
835(3)
(g) Disclosure to third parties
838(1)
(h) The report stage
838(1)
(i) SDT proceedings
839(1)
B Procedure before the SDT and on appeal
840(15)
1 Introduction
840(1)
2 Jurisdiction
841(1)
(a) Appellate jurisdiction of the SDT
841(1)
(b) First instance jurisdiction of the SDT
841(1)
(c) Appeals from the SDT to the High Court
842(1)
3 Procedure in relation to the first instance jurisdiction of the SDT
843(1)
(a) Solicitors (Disciplinary Proceedings) Rules 2019
843(1)
(b) The standard of proof
843(1)
(c) Making applications to the SDT - the rule 12 statement
844(1)
(d) Certification of case to answer
845(1)
(e) Case management, Answers, and procedural applications
846(1)
(f) Disclosure, and client privilege
846(2)
(g) Use of the SRA's investigative powers during proceedings
848(1)
(h) Evidence
848(1)
(i) Subpoena powers
849(1)
(j) Adjournment
849(1)
(k) Publicity
850(1)
(l) Agreed outcomes
850(1)
(m) Substantive hearings
851(1)
(n) Costs of hearings in the SDT
852(2)
(o) Appeals
854(1)
C Legal Issues arising from the SRA Principles and Accounts Rules
855(15)
1 Introduction
855(1)
2 The SRA Principles 2019
856(1)
(a) Status and content of the Principles
856(1)
(b) Principle 4 -- the test for dishonesty
856(1)
(i) First stage of the test
857(1)
(ii) Second stage of the test
858(1)
(c) Principle 5 -- lack of integrity
858(1)
(i) Lack of integrity includes conduct other than dishonesty
858(1)
(ii) General definitions of lack of integrity
859(1)
(iii) Examples of lack of integrity from the pre-/vey period
860(3)
(iv) Examples of lack of integrity from the post-/vey period
863(2)
(d) Principle 2 -- Upholding public trust and confidence in the solicitors' profession
865(1)
(e) Principle 1 -- Upholding the rule of law and the proper administration of justice
865(1)
(f) Principle 7 -- acting in the client's best interests, and conflicts of interest
866(3)
3 The SRA Accounts Rules 2019
869(1)
D Sanctions
870(4)
Chapter 17 Insurance
874(41)
A Statutory framework
874(29)
1 The SRA Indemnity Insurance Rules
874(2)
2 The Minimum Terms and Conditions
876(1)
(a) Scope of cover
876(1)
(i) The `insured'
877(1)
(ii) `Claim'
878(1)
(iii) `Circumstances'
879(5)
(iv) `Civil liability'
884(1)
(v) `Defence costs'
885(1)
(vi) Exclusions
885(4)
(b) Limit of cover
889(5)
(c) Excesses
894(1)
(d) Special conditions
895(1)
(i) No avoidance or repudiation or limitation
895(1)
(ii) Advancement of defence costs
895(1)
(e) Extended policy period and run-off cover
896(1)
(i) `Prior practice'
897(1)
(ii) `Successor practice'
898(4)
(f) General conditions
902(1)
(g) Law and jurisdiction
902(1)
B Rights of third parties against insurers
903(12)
1 Introduction
903(1)
2 Third Parties (Rights Against Insurers) Act 1930
903(5)
3 The Third Parties (Rights Against Insurers) Act 2010
908(1)
(a) The statutory assignment
908(1)
(b) Declaration
909(1)
(c) Defences
910(1)
(d) Limitation
910(1)
(e) Information rights
911(2)
(f) Other provisions
913(2)
Index 915
William Flenley KC of Hailsham Chambers and Tom Leech KC of Herbert Smith Freehills.

Assisted by Thomas Grant, barrister, Maitland Chambers, and Paul Mitchell, barrister, Hailsham Chambers.
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