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This document outlines the key ethical responsibilities and challenges faced by in-house counsel, as regulated by the Victorian Legal Services Board and Commissioner. It highlights the importance of confidentiality, legal professional privilege, conflict of interest, and the necessity of honoring undertakings to maintain trust and credibility. Additionally, it provides insights into the regulatory framework governing legal practitioners, emphasizing consumer protection, professional conduct, and the consequences of misconduct. Legal professionals can benefit from understanding these ethical standards and their implications in practice.
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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
Who is the Regulator? • Victorian Legal Services Board and Commissioner - independent statutory entities- regulate lawyers • Consumer interests dominate • Two bodies; work as one www.lsbc.vic.gov.au
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