Author: Legal Week
14 Oct 2010 | 00:06 | 11 comments
"I find myself in a difficult position. I am an associate in the City office of a foreign firm, and my boss has asked me to sign an opinion (in my name, not the name of the law firm) along with him on a foreign law question, knowing that I am not qualified to give advice in that jurisdiction.
"I was taken aback that a junior lawyer signs opinions (even if a partner is also signing the same opinion). In my previous job at a bigger firm, only partners or counsel signed off opinions, and in the name of the firm rather than in their personal names. Senior associates had to get special dispensation from the partner committee to sign opinions in the name of the firm.
"Even if I agreed to sign off opinions, I don't think I am allowed to sign off on foreign law questions! I am sure my insurers would have something to say about this.
"My dilemma is how to refuse diplomatically. Failing that, what arguments can I use to tell him a categoric 'no'? Is he being unreasonable in asking a) a junior associate to sign off opinions; and b) to sign off for foreign law questions? It is as if he is asking a UK solicitor to give Kazakh opinions."
COMMENTS (TOTAL 11 COMMENTS)
Er..
The fact your instinct tells you to question this is all you need. It is wrong. Don't do it. Be frank and decline.
Obvious -14 Oct 2010 | 11:55
Kazakhstan's a particularly difficult jurisdiction for even local law firms to give an opinion on, so just say no.
IHateBPP -14 Oct 2010 | 13:03
The procedure you set out for signing off opinions is the same as I am used to. I would be shocked if asked to sign an opinion.
Have a word with a trusted and more senior colleague and get their thoughts on it. If they feel uncomfortable, seek their advice as to how they would handle that situation given the culture and climate of your firm as saying simply no may cause you difficulties. I am not suggesting you sign the opinion, far from it, I am simply suggesting you say no in an appropriate manner.
ME -14 Oct 2010 | 13:51
If the firm's an LLP then presumably it is the LLP (as a legal person) that is providing the opinion and not the "partners", let alone an employee.
Sol -14 Oct 2010 | 14:46
Opinion or advice?
Do you really mean a "legal opinion" as in "legal, valid, binding and enforceable", or are you referring to advice given as to the effect of the laws of a particular jurisdiction?
There are some jurisdictions in which it is not uncommon for a European law firm to be able to say "although we are not members of the bar in country X, we have reviewed the relevant legislation and in our view, the following is the case", where the laws of the jurisdiction in question were clearly modelled on and inspired by the home jurisdiction of the law firm (e.g., Mozambique / Portugal, African countries with "OHADA" uniform laws / France, etc.
Jean-Edouard Marre -14 Oct 2010 | 14:55
Say no
Posters above are right: the opinion should be issued by the firm, not by individuals (that's usually what the client expects!); ergo it should be signed by someone who can represent the firm, not an associate; and in any case the firm probably shouldn't be issuing any sort of opinion, apart from "reliance opinions" on foreign law issues.
But do ask yourself why the partner is asking you to sign the opinion: did you do the research? Could it be a way of telling you that (s)he is not comfortable with the work you have done leading up to the opinion?
Alternatively, (s)he just wants to give you credit for your work; in that case you might suggest that your name be mentioned in the cover email or something...
Frenchie -14 Oct 2010 | 16:13
Thank you
Many thanks for your comments.
@ Sol- The firm is not an LLP but an MNP which allows both foreign and UK qualified lawyers to practise.
@ Jean Edouard- we are not reviewing transactional documents or giving advice on enforceability etc. It is advice as the effect of the laws of a particular jurisdiction- i.e according to x, y, z law, you have x,y,z events which result in x,y,z legal consequences ...? And we don't say anything about laws being modelled on ... as the partner is qualified to give advice in that jurisdictions.
@ Frenchie: The partner, to my knowledge has never signed an opinion by himself but asks any associate that works with him to sign. The other associates simply signed without questioning it even if they were not qualified in that jurisdiction. It is not to give me credit. So I stand out by declining because he tells me the others were happy to take "ownership".
@ ME: Therefore I can't ask a more senior colleague as they all have signed in the past.
I think I should not sign because I will be taking personal risk and liability on a foreign law question. Even if it was an English question, at my level of experience, it should not be right to ask me to sign an opinion.
I just wanted to find out if what the partner is asking is reasonable, so any other comments more than welcome.
Lawyer -14 Oct 2010 | 19:14
Don't Do It
I can only agree with the advice you've had so far. You shouldn't sign anything (in your name or that of the firm) which you're not happy with and prepared to justify to the client or to a regulator. You would be letting the client down very badly if you were to sign off on an opinion which you know you're not able to give.
Incidentally, it's not an answer to say that the LLP will be liable, will be insured etc. An individual who is negligent is potentially personally liable as well, and there were a number of cases a few years ago in which smaller firms sued assistants and associates for a contribution towards negligence claims.
The partner is being completely unreasonable and, frankly, dangerous and if this sort of behaviour continues you might want to look to move, either internally or to another firm.
Anon -15 Oct 2010 | 11:06
Does your firm have a person who deals with risk management and/or the reporting of the indemnity claims or circumstances which may lead to claims? Could you have a chat with that person on a no names basis and tell him/her why you are uncomfortable with what you are being asked to do? You don't have to tell him/her who has asked you to give the opinion or who else has written them.
Risk management is important for all firms and the professional indemnity insurance renewal was horrid this year. Most firms who take risk management seriously have an open door policy when it comes to advice on potential or actual problems.
I work in a much smaller firm than you do but I know that if I had such a dilemma, I could discuss my concerns with an equity partner who would support me and would not judge me adversely for coming to see him. What you have been asked to do may not be something your firm wishes to encourage and the directors of the LLP may appreciate being told it is going on.
I hope you will be able to find a solution to your dilemma which leaves you content.
high street solicitor -15 Oct 2010 | 14:12
It would be interesting to know if someone else has had a similar experience. It is a very odd request and it sounds like the partner is not very experienced and feels the need either for a back-up or a scapegoat.
Anonymous -18 Oct 2010 | 00:33
Trust your judgment...
It’s depressing how many junior lawyers regard independent thought as completely unnecessary and simply do as their seniors direct. Even if you are a small cog in a big wheel, you are a professional person with responsibilities that make you answerable for what you do. It is therefore a GOOD THING that you have alarm bells ringing about something like this. The first thing to do is check whether your concerns are well-founded and whether you are being asked to do something which is unfamiliar to you rather than plain wrong. If that validates rather than assuages your concerns, then act on them.
Ideally manage the fallout as best you can – if need be involve other partners in the firm or a mentor if you have one. Most large firms have senior partners and risk managers who have to manage relations with insurers and client complaints and would take an extremely dim view of the sort of practice you describe. Even if you have no allies, however, you’re in this gig for the next 30 years. In the worst case scenario, moving jobs would be better than being embroiled in negligence claims where refusal to think for yourself is not necessarily a get-out.
Young Fogey -18 Oct 2010 | 12:51
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