Ethics in Dispute Resolution

Introduction

Ethics sits at the heart of the practice of dispute resolution. As a solicitor you are first and foremost an **officer of the court**, and your professional conduct is governed by the **SRA Principles** and the **SRA Code of Conduct for Solicitors, RELs and RFLs**. This chapter explains how those obligations apply when you are advising on, and conducting, litigation, arbitration and mediation. It covers the **seven SRA Principles**, the duties of **honesty and integrity**, the requirements to give the client information about all available **methods of dispute resolution**, and the ethical dilemmas that arise in each form of dispute resolution.

Assessment focus

For the SQE1 FLK1 Dispute Resolution assessment, ethics is examined **pervasively**: questions are set in **realistic client-based scenarios** and require you to apply the **SRA Principles** and the **SRA Code of Conduct** rather than merely recite them. You must be able to recognise that, **where the SRA Principles conflict, those that safeguard the wider public interest (such as the rule of law and the proper administration of justice) take precedence** over the individual client's interests. You should be able to apply the specific Code provisions on advising about dispute resolution options (**rr 3.2, 3.4, 8.6 and 8.7**) and the duties owed to the court, including **not misleading the court** and **not coaching witnesses**. This is a closed-book assessment.

Study tips

1) Memorise the **seven SRA Principles** in order: rule of law / public trust / independence / honesty / integrity / equality, diversity and inclusion / best interests of each client. 2) Learn the **conflict rule**: where Principles conflict, the one that best serves the **wider public interest** (rule of law, administration of justice) prevails over the client's interests. 3) Tie the dispute-resolution-advice duties to specific rules: **r 3.4** (consider the client's attributes, needs and circumstances), **rr 8.6–8.7** (give enough information on all options and likely costs), **r 3.2** (only act where competent, else refer). 4) Remember the duty to the court: **never mislead the court**, **never call evidence you know to be false**, **do not coach witnesses**. 5) For arbitration/mediation, focus on **impartiality / neutrality**, **confidentiality** and **informed consent**.