A solicitor who was left a cash gift in a will they had themselves drafted has been rebuked by the Solicitors Regulation Authority.
Now retired Simon Roderick James, who worked for Midlands firm Ansons Solicitors, was left £22,727 by the client, which he disclaimed. The client neither received independent legal advice nor was advised to obtain any such advice. The gift was not disclosed to the firm’s compliance officer or any directors at the time the will was drafted or executed.
James, admitted in 1979, was found to have breached the SRA code on acting where there was a risk of conflict.
The regulator said James was an experienced solicitor with direct responsibility for his conduct. Some form of public sanction was needed to maintain standards and acknowledge the rule breach.
But a rebuke was deemed proportionate based on James having retired from practice and there being no lasting significant harm to clients. There was ultimately no financial gain from the misconduct. The SRA stated that James had not acted intentionally in breach of his regulatory obligations and there were no allegations of dishonesty or lack of integrity.
SRA guidance states that if a solicitor drafts a will where the client wishes to make a significant gift to them, they should be satisfied the client has first taken independent legal advice. The code of conduct requires solicitors not to act if there is an own interest conflict or a significant risk of an own interest conflict. In a situation like this, solicitors will usually need to cease acting if the client does not agree to take independent legal advice.
