Issue Date: 1/3/2014 Author: Val Antoff Review Date: 1/3/2017 Approved by: Val Antoff

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Conflict of Interest Policy and Procedure

Clause 7.1.A - LAW 9000 - Best Legal Practice

Purpose

To ensure that conflicts of interest are identified and resolved prior to engagement.

Persons affected

All professional personnel.

Policy

[Practice Name] is committed in identifying conflicts of interest prior to client engagement. The policy of the

practice is to ensure that:

A file is opened and/or work is commenced only if it has been established that there is no

conflict of interest.

The client must be informed if a conflict of interest has been identified.

The practice will decline to act for a client if it has been established that there is a conflict of

interest.

Responsibilities

The principal/managing partner is responsible for ensuring compliance to this procedure. Lawyers are

expected to adhere to the guidelines of this procedure.

Procedure

1) [Practice name] recognises that conflicts can:

a. emerge in many areas and contexts

b. be serious

c. emerge before or during a retainer and

d. arise when:

i. acting against a previous client

ii. acting for more than one client in the same matter

iii. failing to take full instructions from clients as to companies and related

entities in which the client is involved

iv. the lawyer is holding an office (public or private) that may conflict with the

interests of a client

v. when the lawyer promotes their interests over those of the client

Issue Date: 1/3/2014 Author: Val Antoff Review Date: 1/3/2017 Approved by: Val Antoff

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vi. personal involvement in a client's business interests

vii. a lawyer solicits other investors on behalf of a client's enterprise

viii. a lawyer is acting as director or officer of a client company.

2) [Practice name] has developed a systematised procedure for analysing and documenting

potential conflicts for every new client and new matter accepted by the legal practice. The

procedure provides a method for matching clients' names using our client management

system [Name of Computerised System].

3) A lawyer who completes a “File Opening Requisition” form must submit the form to the

principal for conflict of interest verification.

4) Conflict checks are part of the matter opening and must be completed prior to the execution

of the engagement contract. Only the principal/partner has the authority to perform (see

clause 5.5.1 Responsibility and authority) a conflict of interest check and this is done by

checking that:

a. the other party is not a former client of the practice. If the other party is a former client

then the practitioner should not accept the retainer if

i. the practitioner has confidential information about the former client which is

relevant to the new proceedings, and

ii. it is reasonable for the former client to think there is a real possibility that the

information would be used against them

b. the other party is not an entity owned by a (former) client

c. the other party is not a former client of the predecessor of the practice

d. the proposed clients do not have opposing interests in the subject matter

e. there isn’t a conflict between the interests of one of the lawyer’s clients with the

interests of another of the lawyer’s clients

f. the practice does not have an interest in the subject matter

g. neither the principal nor a lawyer has an interest in the subject matter

h. an associated person does not have an interest in the subject matter

i. neither the principal nor a lawyer holds a position with the other party

j. the rules of the court do not prevent the practice from acting

k. the professional conduct rules do not prevent us from acting.

5) The process of conflict of interest check described in this procedure is repeated if a change in

the interested parties of the matter has occurred. If a conflict of interest is subsequently

identified where there has been change in the matter (e.g. a new party becoming

involved) the practice must inform the client in writing of the conflict of interest and the way

the problem will be resolved as soon as reasonably possible.

6) The practice must inform the client in writing of its decision to decline to act for the client as

soon as practicable after the conflict has been established.

7) Records of the conflict of interest checks are placed on the matter file.

Issue Date: 1/3/2014 Author: Val Antoff Review Date: 1/3/2017 Approved by: Val Antoff

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8) Steps for conflict of interest checking in LawWare:

a. our practice management system records all relevant details of the parties and

related corporations as well as related entities. LawWare records the details of all

matters undertaken, details of the clients (including commercial associations of the

client)

b. select Clients then Conflicts

c. type the name of the client and then the name of any associated with the client

entities

d. click “View”

e. repeat the same steps using the name of the opposing party and then the names of

any associated entities

f. click “View”

g. place the record of the search in the matter file.

9) Guidelines on avoiding and preventing a conflict of interest

a. avoid suing former clients

b. take only one side of any case or transaction and confirm this in writing

c. avoid becoming a director, office or shareholder of a corporation concurrent with

acting as its lawyer

d. avoid joint representation in potential conflict situations if there is any risk of an actual

conflict materialising

e. if you intend to engage in a joint or multiple client representation, give full disclosure

to all clients regarding potential and reasonably foreseeable conflicts of interest and

their ramifications.

Relevant Legislation

Legal Profession Conduct Rules2010 (WA)

s 12 Conflict of interest generally

s 13 Conflict of interest concerning former clients

s 14 Conflict of interest concerning current clients

s 15 Conflicts concerning practitioner’s own interests