hong kong solicitors' guide to professional conduct

Professional Rules The "Hong Kong Solicitors' Guide to Professional Conduct" published by The Law Society of Hong Kong sets out the rules and principles of professional conduct for practising solicitors and can be accessed by the following link: . The exemption, if granted, only allows the solicitor in their personal capacity to provide pro bono services, but there is still a burden on the organisation through which the inhouse counsel is providing services (e.g. Solicitor advocate is a hybrid status which allows a solicitor in the United Kingdom and Hong Kong to represent clients in higher courts in proceedings that were traditionally reserved for barristers.The status does not exist in most other common law jurisdictions where, for the most part, all solicitors have rights of audience in higher courts.. In this regard, a particularly helpful chapter is found in the text on "The Conveyancing Solicitor". Apple NOT Lemon means to find documents having Apple but not Lemon. not their employer) should first check their corporation’s own insurance policy and the scope of that coverage. An award costs may be provided by counsel may lead to. Where the Council considers that a solicitor's conduct should be inquired into as a result of a complaint, the matter will be referred to a The coverage required is up to HK$10 million per claim inclusive of costs. It promotes awareness and includes practical discussions and useful cases in relation to conduct and risk management. Amirali is a member of the of the Guidance Committee of the Law Society of Hong Kong. 571; The Listing Rules; Accounts and Professional Conduct. Licensed Money Lenders Association Limited. Counter-Terrorist Financing Requirements for Trust Unlike some other common law jurisdictions such as the United Kingdom and Australia, neither contingency nor conditional fee arrangement is allowed in Hong Kong under The Hong Kong Solicitors' Guide to Professional Conduct, the Code of Conduct of the Bar, and Legal Practitioners Ordinance. These issues must be understood and ideally addressed in your organisational pro bono policy to enable appropriate decisions to be made about which projects or work to take on. Found inside – Page 83A recent paper on civil justice reform said the number of judges in Hong Kong had not changed significantly in the past decade despite sharp ... Solicitors are required to have professional indemnity cover, but barristers are not. allowed to work for their employer, and as a result they are exempt from compliance with the Law Society’s indemnity rules with which they would otherwise have to comply like Solicitors in law firms or in private practice. The chairman of the Hong Kong office is Yash Rana. Aside from the restriction of who they can work for and the PI issue above, an employed solicitor acting in the course of their employment for their employer is in the same position as a private practice solicitor acting for a client in every other aspect in so far as having to comply with their professional and ethical obligations as Solicitors. the aided person and observe the requirements in the Hong Kong Solicitors' Guide to Professional Conduct. The Law Society of Hong Kong is the regulatory body for solicitors in Hong Kong. This Code of Professional Conduct was originally published as a Warning Notice in 1957 and as the Professional Code and Conduct in 1994. Further, as noted above, only Hong Kong qualified lawyers are able to apply. Therefore, Foreign Lawyers working as in-house counsel are unable to offer Legal Advice to the public and only RFLs are able to do so. At the time of publication, no Rule 7 Exemption application has been granted by the Law Society, although some applications are pending. Found insideThe same restriction applies to foreign lawyers who are registered to practice in Hong Kong. The restriction derives from section 64(1) of the Legal Practitioners Ordinance, Principle 4.17 Solicitors Guide to Professional Conduct, ... Rule 2(a) and (d) of the Solicitors' Practice Rules (the "SPR") Principle 1.02 of The Hong Kong Solicitors' Guide to Professional Conduct (Volume 1-2nd Edition) (the "Guide") Hearing Date 6 June 2016 Findings and Order 6 September 2016 On 6 June 2016, the Solicitors Disciplinary Tribunal found the following complaints against the . the subsistence of that solicitor-client relationship: see Prince Jefri Bolkiah and KPMG (a firm) [1999] 2 AC 222 at 235C-F, per Lord Millett. These obligations are in addition to and do not replace those imposed by law or required by other Law Society rules, and the Hong Kong Solicitors' Guide to Professional Conduct. Prior to undertaking any pro bono services which would be Legal Advice, in-house counsel should ensure they have appropriate PI cover in place through the means described in this section. Certain lawyers based in Hong Kong are not admitted in Hong Kong but are registered with and regulated by the Hong Kong Law Society as Registered Foreign Lawyers. The Guide sets out the basic principles governing the practice of solicitors. A copy of the SRA Standards and Regulations is available on the Solicitors Regulation Authority's website, www.sra.org.uk. • Principles 2.03, 6.04, 14.02 of the Hong Kong Solicitors' Guide to Professional Conduct, Volume 1, 2nd and 3rd Editions (the "Guide") • Section 8 of the Legal Practitioners Ordinance, Cap 159 (the… There are currently about 6,500 practicing Hong Kong solicitors with more than 700 firms. This mandatory scheme only applies to law firms; corporate in-house legal teams or corporations are not able to participate and as a result they are not covered. The website to solicitors guide provides practical advice of legal developments. It incorporates statutory sources, helpful practice information and guidance. However, the unregistered Foreign Lawyer can still meaningfully engage in pro bono work by assisting or partnering with Hong Kong qualified lawyers such that all Hong Kong law-related work is done by a Hong Kong Solicitor (either within the in-house legal team or by an external law firm partnering with the corporation on pro bono services). In Hong Kong, the Hong Kong Institute of Certified Public Accountants (HKICPA) is the professional accounting body. Stephanie started her practice as an assistant with Johnson, Stokes & Master, (now Mayer Brown) to then found her own firm of Cheung, Tong & Rosa (1980 to 1998). The primary factors to consider are the regulatory and insurance requirements applicable in Hong Kong to legal practitioners, and the restrictions on the giving of Legal Advice, including professional obligations and ethics. In the absence of that, there are other limited options available such as partnering with a law firm on the pro bono project or matter, and request that the law firm’s PI cover extend to cover the work of in-house counsel, and all work will be done under the supervision of the law firm (or subject to whatever other restrictions may apply under the firm’s policy). I note, however, that to some members, the Guide has been viewed as a means to create a basis upon which to penalise them. This includes the SRA Overseas Principles, which embody the key ethical . For lawyers, it can be found, for example, in Principle 8.01 of the Hong Kong Solicitors' Guide to Professional Conduct, which expressly states that: Table 1: Summary of how pro bono services may be provided and by whom. NEAR ( (Apple, Lemon), 2, false) means to find documents having Apple within 2 words apart from Lemon. Apple OR Lemon means to find documents having either words. The Securities and Futures Commission (SFC) supervises firms engaged in regulated activities (licensed corporations or LCs). (b) Moreover, under paragraph 8.01 of The Hong Kong Solicitors' Guide to Professional Conduct, Vol. Professional Conduct 13 Principle 4.17 of The Hong Kong Solicitors' Guide to Professional Conduct 13 Paragraph 6.3(a) of the HKBA Code of Conduct 14 Paragraph 9.9 of the HKBA Code of Conduct 14 Other relevant provisions in the HKBA Code of Conduct and The Hong Kong Solicitors' Guide to Professional Conduct 14 Section 98O of the Arbitration . The Hong Kong Solicitors' Guide to Professional Conduct Volume I sets out the basic principles governing the practice of solicitors. The former Head of Profession for all lawyers in the Army, Susan is an experienced in-house solicitor having previously advised on key legal issues including policy and casework in respect of inquiries and disciplinary investigations. There are insurance providers in the Hong Kong market who sell insurance products that could fulfil the requirements of the Law Society. The Law Society Council is the Society's governing body. A barrister may not do, or cause or allow to be done on his behalf, anything for the purpose of touting, whether directly or indirectly, or which is likely to lead to the reasonable inference that it was done for that purpose. Found inside – Page 153Hong Kong Solicitors' Guide to Professional Conduct (Principle 8.01): A solicitor has a duty to hold in strict confidence all ... concerning the business and affairs of his client acquired in the course of the professional relationship, ... Principles 6.04, 12.04 and 12.05 of The Hong Kong Solicitors' Guide to Professional Conduct (Volume 1-2nd Edition) ("Guide") Common law offence of misconduct Hearings: 3 February 2015, 25 March 2015, 1 December 2015 and 30 May 2016 Findings: 31 August 2016 Reasons and Order: In respect of DNFBPs, the AMLO has designated the Law Society of Hong Kong, the Hong Kong Institute of Certified Public Accountants, the Estate Agents Authority and the Companies Registry as the respective regulatory bodies for overseeing the compliance of legal professionals, accounting professionals, estate agents and trust or company service providers (TCSPs) with the statutory CDD and record-keeping requirements. Found inside – Page 65... obligations is treated as professional misconduct in respect of which disciplinary action may be taken (e g revocation or suspension of licence, payment of penalty) (chapter 16 Hong Kong Solicitors' Guide to Professional Conduct) ... Offering inducements to potential clients or clients - Guidance. The Law Society of Hong Kong is the regulatory body for solicitors in Hong Kong. The Hong Kong Solicitors' Guide to Professional Conduct - Guidelines on Anti-Money Laundering and Terrorist Financing (Practice Direction P) Hong Kong Institute of Certified Public Accountants. Found insideThe Hong Kong Experience Devin Lin ... Practice Rules – Approved Forms A1 and A2 (for Consent Scheme), Approved Forms B1 and B2 (for non-Consent Scheme), Section 12 in Chapter 24, Practice Directions, Guide to Professional Conduct, Vol. The complaints were summarized by the Found inside – Page 145Franklin Chu , “ Starting Up Joint Ventures in the PRC ” , Asia Law and Practice Seminars , organised by Asia Law and Practice Ltd , Hong Kong , February 19 , 1993 . See , e.g. The Guide to the Professional Conduct of Solicitors ( The ... Accordingly, Principle 2.08 of The Hong Kong Guide to Professional Conduct ("Professional Conduct Guide") states that a Solicitor who works for a nonsolicitor employer must comply with the Solicitor's Practice Rules (Cap159H), Practice Directions and the rules and principles of professional conduct. It was incorporated in 1907 as a company limited by guarantee. This extensive work is one of the most useful legal resource as each section of the legislation is described, defined, interpreted, explained and referenced to the detail. Section 4 of the Foreign Lawyers Registration Rules (“FLR Rules”) requires that the lawyer prove that he or she will be appropriately covered by PI insurance. This means that any in-house counsel wanting to offer services to external clients (i.e. All rights reserved. Whether the organisation charges the public a fee for the pro bono services and whether the applicant provides his or her services for free. What do AML laws and regulations mean for clients of law firms in Hong Kong? The Rule 7 Exemption allows a Solicitor to provide pro bono legal services without having to be covered by the Law Society’s Professional Indemnity Scheme, but as one of the conditions to obtaining the exemption, the Solicitor will be required to have PI insurance which is equivalent to the coverage provided by the Law Society’s Professional Indemnity Scheme. This is addressed further at section 4.3 below, and it means that in-house counsel should not provide Legal Advice directly to the public unless they have obtained the Rule 7 Exemption. A contingency fee agreement is defined in the Professional Conduct Guide as "any arrangement whereby a solicitor is to be rewarded only in the event of success. Solicitors must comply with the principles of the Hong Kong Solicitors Guide to Professional Conduct issued by the Law Society of Hong Kong and barristers must comply with the Hong Kong Bar Association's Code of Conduct. The Council of the Law Society can however grant, on such terms as it sees fit, an exemption to the compulsory requirement to maintain indemnity under Rule 7 of those rules (that is, the Rule 7 Exemption). Sole proprietorship Found insideIn particular, To J pointed out that under the Hong Kong Solicitors' Guide to Professional Conduct, a solicitor was bound by both a duty to hold in confidence all information of his client acquired in the of the professional ... Rule 4.17 of the Professional Conduct Guide prohibits solicitors from entering into contingency fee agreements in contentious matters which involve instituting legal proceedings. They may also be regulated by the relevant regulatory body in their place of admission. The Hong Kong Solicitors' Guide to Professional Conduct, issued by the Law Society, stipulates: "A solicitor may not enter into a contingency fee arrangement for acting in contentious proceedings". The Organization of a Law Firm in Hong Kong: 1. “Every solicitor must have compulsory indemnity as a matter of Hong Kong law, and it is therefore a regulatory requirement. Section 7 of the Legal Practitioners Ordinance, requires that in order to practice Hong Kong law, all Solicitors, including an employed solicitor, must be on the roll of solicitors, not be suspended from practice, have a current practising certificate, and comply with the indemnity rules. The Circular states that if “a solicitor is held out to the public as providing pro bono services and does so with some degree of formality and regularity, as opposed to an informal one-off basis” and “if the pro bono legal services are offered in the solicitor’s personal capacity and not as part of the practice of his or her law firm” then this equates to the solicitor carrying on practice within scope of Rule 6 of the Professional Indemnity Rules. Association and solicitors must sent by the Hong Kong Solicitors' Guide to Professional Conduct Solicitors' Guide issued. However, Foreign Lawyers employed as in-house counsel are unable to register as an RFL with the Law Society. Importantly, this should be explored and documented prior to providing any pro bono services. Found inside – Page 141C.4 C.3.2 Witnesses and Experts In Hong Kong, solicitors are not allowed to tamper with the evidence of a witness, ... to be made between counsel conduct which is in breach of law and conduct which is in breach of a professional code. Both solicitors and barristers must also observe the relevant provisions I the Legal Practitioners Ordinance (Cap.159) and . Solicitors in Hong Kong law firms or private practice, barristers admitted to the Hong Kong Bar, government lawyers and employed solicitors, that is, in-house counsel. I am lodging a formal complaint, as a member of the public, against Hong Kong Barrister Ms Sakinah Sat ( 薩忻琪大律師 ) of Des Voeux Chambers (DVC), 38/F, Gloucester Tower, The Landmark, Central, H.K., for her blatant breach of paragraphs 10.29 & 10.30 of the Bar Code , in that she has failed to act with candour and independence in the . Found inside – Page 353 For example, the 2011 England and Wales Solicitors Regulation Authority Code of Conduct refers to an English solicitor's practice before a 'tribunal'. 4 Rule 1.06, Chapter 1, The Hong Kong Solicitor's Guide to Professional Conduct, ... Found inside – Page 220Hong Kong has three Legal Aid schemes: Ordinary Legal Aid, Supplementary Legal Aid and Criminal Legal Aid. A solicitor owes a professional duty, under the Hong Kong Solicitors' Guide to Professional Conduct, to take steps to 'give his ... All solicitors must comply with the Hong Kong Solicitor's Guide to Professional Conduct issued by the Society. (2) Legal professional privilege and code of conduct Solicitors are bound by the principle of legal professional privilege ("LPP") and the Guide to Professional Conduct. Guidance: Common risks that solicitors and firms face when they provide immigration services. 159 sub. This is a big misconception and misunderstanding. Bearing in mind that in-house counsel in Hong Kong are not required to be admitted to practice as solicitors or barristers in Hong Kong, or to hold local practising certificates, this also has implications for the type of Pro Bono Services which in-house counsel can offer to external clients. a solicitor is held out to the public as providing pro bono services and does so with some degree of formality and regularity, as opposed to an informal one-off basis, if the pro bono legal services are offered in the solicitor’s personal capacity and not as part of the practice of his or her law firm. There are several issues in-house counsel must consider before engaging in Pro Bono Services in Hong Kong, particularly around the provision of Legal Advice. Found inside – Page 206An Introductory Guide, Second Edition Stephen D. Mau. LexisNexis, Hong Kong English-Chinese Legal Dictionary (2005) [hereinafter LexisNexis]. ... Law Society of Hong Kong, The, The Hong Kong Solicitors' Guide to Professional Conduct, ... Importantly, even if in-house counsel are not providing Legal Advice and are only providing general assistance on a pro bono basis, you must provide your client with comfort that you are insured for the services being provided.”. On this point the Law Society will take into account whether the organisation has mechanisms in place to assist the applicant to comply with applicable professional requirements, including policies in relation to confidentiality, conflicts of interest and record keeping; and. The scope of Pro Bono Services an in-house counsel can provide will differ depending on whether the in-house counsel is a Hong Kong qualified solicitor (“Solicitor”) or a foreign qualified lawyer (“Foreign Lawyer”). Professional Conduct and Risk Management in Hong Kong is the first book of its kind to comprehensively cover the rules for all contentious and non-contentious matters. In very limited circumstances, where you are providing Professional Assistance to an NGO that has its own insurance, you may also consider whether it is possible to have their policy extended to the in-house legal team, as some policies cover volunteers. As discussed above, this causes an issue for in-house counsel who are generally working for organisations who cannot participate in the Law Society’s Professional Indemnity Scheme, and consequently they cannot meet the requirements of Rule 6. focus on Hong Kong -specific legislation, codes and case law (which are all amply covered) will no doubt provide a good guide to the "lay of the land" when engaged in professional conduct litigation. Details of the professional rules which apply to Hong Kong Lawyers are included in the Hong Kong Solicitors' Guide to Professional Conduct to which can be viewed here . Exclude these words (NOT) e.g. As such, aside from limited circumstances provided in the Hong Kong Solicitors' Guide to Professional Conduct, the parties will need to be separately represented and therefore each will usually incur legal costs for engaging their own respective solicitors. This is important because every solicitor must have compulsory indemnity as a matter of Hong Kong law, and it is therefore a regulatory requirement. The Rule 7 Exemption is a useful new development, but it still presents formidable challenges to in-house counsel wishing to provide legal advice directly to the public, given the conditions required to be fulfilled and maintained to obtain the exemption. Found inside – Page 17( ii ) The Hong Kong Guide to the Professional Conduct of Solicitors As we have seen above , in 1995 , the Council of the Law Society promulgated the first Hong Kong Guide to the Professional Conduct of Solicitors ( “ the Solicitors ... Therefore the exemption will only apply to in-house counsel, who are also Hong Kong qualified lawyers. “A solicitor is held out to the public as providing pro bono services and does so with some degree of formality and regularity, as opposed to an informal one-off basis”, 4.3 Applying for a Rule 7 Exemption and Circular 16-609. This means that employed solicitors are not covered by the Law Society’s Indemnity Scheme, and it is left to the discretion of the employer as to whether to purchase its own Professional Indemnity (“PI”) cover in respect of the employed solicitor’s work. E general@rsl.com.hk, LL.B and P.C.LL., The University of Hong Kong (1972, 1973), Solicitor of the High Court of Hong Kong SAR, (1975), Solicitor, Australia (State of Victoria) (1982), Mediator (General & Family), with accreditation from HKMAAL, HKIAC and The Law Society of Hong Kong, Collaborative Practice Lawyer in Family Disputes, Arbitrator (Hong Kong Institute of Arbitrators), Guidance Committee, The Law Society of Hong Kong (Chair), “The Hong Kong Solicitors’ Guide to Professional Conduct” (1st, 2nd & 3rd Editions) Working Party of The Law Society of Hong Kong, “Asian Dispute Review” (Supervisory Board), HKIAC Hong Kong Mediation Council, General Interest Group (past Chair), HKIAC Hong Kong Mediation Council, Intellectual Property Group and Commercial Interest Group, City University of Hong Kong, External Academic Adviser on “Wills & Probate Practice” for LLB & PCLL programs (2014-2019), Licensing Executives Society of China (Hong Kong Chapter), The Hong Kong Institute of Trade Mark Practitioners. Professional Conduct: Hong Kong Solicitors' Guide to Professional Conduct; relationships with clients, other lawyers and duty to the Court, confidentiality, conflict of interest, fiduciary duty - handling client money, trust accounts, undertakings.

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