Question of ethics

Q I am admitted but have not got a practising certificate.

Is that a problem? I am working in private practice, but I don't see clients.A You may be in breach of s.1A of the Solicitors Act 1974.

The effect of this section is that if a solicitor is employed in private practice in connection with the provision of any legal service he or she must have a practising certificate.

If you are employed in this way you will require a practising certificate even if you do not see clients.

On the other hand, if you are employed solely on non-legal matters such as recruitment and marketing, you would not need a practising certificate provided always that you are not held out as a solicitor.

Solicitors employed as librarians or legal researchers would almost certainly need practising certificates, as they would almost always be required to provide support to fee earners.

Q I introduced a client requiring financial services to an independent financial adviser and he has sent me some commission.

May I keep it?A The commission will be caught by r.10 of the Solicitors Practice Rules 1990.

Any financial benefit which you obtain by reason of and in the course of the relationship of solicitor and client is caught by the rule.

This includes a payment made to you for introducing a client to a third party (such as the independent financial adviser in your situation) unless you can show that the introduction was unconnected with any particular matter which you were currently or had been handling for the client.

To comply with the rule you are required to make full disclosure of the amount of commission or the basis of approximation so that the client can give informed consent to your keeping it.

There is a de minimis figure of 20 below which the rule does not apply.

l Question of ethics is compiled by the Law Society's professional ethics guidance team.

Send questions for publication to Austin O'Malley, the Law Society, Ipsley Court, Berrington Close, Redditch B98 0TD; DX 19114 Redditch; tel: 020 7242 1222.