Downloaded 16 times
Uploaded byJonathon Bray
Solicitors Undertakings Webinar July 2022
This document discusses undertakings in the legal profession. It defines an undertaking as a commitment by a solicitor to do or refrain from doing something. Undertakings are important because they are enforceable by courts and the Solicitors Regulation Authority. The document provides tips for properly giving, receiving, and documenting undertakings to avoid enforcement actions.
Law◦
![[DASS] Raciocínio Lógico - Operações lógicas e tabela verdade](https://cdn.slidesharecdn.com/ss_thumbnails/dass-raciociniologico-operaeslgicasetabelaverdade-140607132931-phpapp02-thumbnail.jpg?width=640&height=640&fit=bounds)
Solicitors Undertakings Webinar July 2022
- 1. © Jonathon BrayLimited Undertakings With Jon Bray & Rachael Eyre
- 2. © Jonathon BrayLimited 1. What is an Undertaking 2. Why are Undertakings so important 3. Enforcement via the Court 4. Enforcement via the SRA 5. Tips for Giving / Receiving Undertakings
- 3. 1. What isan Undertaking • An undertaking is a commitment by a solicitor to do something • SRA Definition: • a statement, given orally or in writing, • whether or not it includes the word ‘undertake’ or ‘undertaking’ • to someone who reasonably places reliance on it that you or a third party will do something or cause something to be done, or refrain from doing something • Basically an oath by an ‘officer of the court’ © Jonathon Bray Limited
- 4. 2. Why AreUndertakings So Important © Jonathon Bray Limited • SRA Code 1.3: • You perform all undertakings given by you, and do so within an agreed timescale or if no timescale has been agreed then within a reasonable amount of time. • Enforceable by the Courts, SRA and Contractual Law. • Underpins lots of transactions including the whole conveyancing system. • Interests of the recipient and Public Interest
- 5. 3. Enforcement viathe Courts © Jonathon Bray Limited • Courts can enforce against Officer of the Court by: • Comply with the Undertaking • Damages • Against partnerships and individual Solicitors • Harcus Sinclair v Your Lawyers – limited company NOT officer of the Court and cannot enforce via court. Can’t go behind agent for the limited company
- 6. 4. Enforcement viathe SRA © Jonathon Bray Limited • Fines and / or conditions including strike off • No redress or forced to comply • Growlings Solicitors and Richard Seddon – jointly fined £12,000 an £5250 costs. December 2021. Undertakings November 2016 – 38 undertakings, 32 not within time scales (2 months to 1 year delay)and 6 still outstanding. Argued out of their control. Still binding. • Michael Gaye. March 2022. Actual breach under the 2007 Regs! Failed to transfer £40,000 from the client account to the right people following an undertaking. No dishonesty. Fined £6,000 and restrictions on PC.
- 7. 5. Process andPermissions for Giving / Receiving Permission - Standard © Jonathon Bray Limited • Standard / routine in conveyancing • Most firms authorise Fee Earners to give / accept standard conveyancing undertakings (not trainees / Legal Assistants) • Law Society approved form • Must have a written redemption statement showing enough funds to discharge mortgage • Place on undertaking register? • Retention • Same as above but DO go on the register • Given and received
- 8. 5. Process andPermissions for Giving / Receiving Permission – Non - Standard © Jonathon Bray Limited • Only those Authorised • Need approval or within permissions (however your firm approves) • Anything beyond a routine undertaking • SMART • Specify value – even if costs • Specify time limits • Irrevocable written authority from the client (and client to pay) • Clear confirmation funds available (client / lender?) • Undertaking register – given and received
- 9. 5. Process andPermissions for Giving / Receiving Permission - General © Jonathon Bray Limited • Authorised by the firm? You / the giver • Client agreed? • Outside of your control? • Confirm oral in writing (asap) (give and receive) • Mark on the file • Mark in a diary • Pop on the register • Don’t breach the accounts rules!
- 10. 5. Tips forUndertakings with Wording by a Third Party © Jonathon Bray Limited • Be careful to read the exact wording from the other party • If oral, record and send a copy asap • Do not be afraid to push back / clarify ambiguities / change things • Remember to discuss with your client • Speak to your COLP • Remember to ensure everything in the Undertaking is within your power
- 11. 5. Process andPermissions for Giving / Receiving Permission - General © Jonathon Bray Limited • Authorised by the firm? You / the giver • Client agreed? • Outside of your control? • Confirm oral in writing (asap) (give and receive) • Mark on the file • Mark in a diary • Pop on the register • Don’t breach the accounts rules!
- 12. © Jonathon BrayLimited ?
- 13. © Jonathon BrayLimited • Undertaking is your bond! • Doesn’t matter if out of your control • Audit trail • Make very clear • Be specific with amounts / timing
- 14. © Jonathon BrayLimited Undertakings With Jon Bray and Rachael Eyre
Editor's Notes
- #4 Doesn’t need any consideration or to be in the benefit of the solicitor. Given on behalf of the firm. Can be outside of work. Doesn’t matter if need third party to do something. Context important not wording Oath is your bond. Like a Medieval Knight.
- #6 Also contract law and PII (freelancers and non SRA regulated)
- #9 Specific, Measurable, Agreed, Realistic, Timed)