Milicent L. Ojumu v General Legal Council & Anor (2) (CIV APP 46 of 2012) [2017] SLCA 1144 (29 March 2017)

 ̱ͳ͸̱  EHFRPHV D VXEWOH GLVWLQFWLRQ \RX KDYH WR GHDO ZLWK LQ RUGHU WRGHWHUPLQH ZKHWKHU KHDUVD\ LQWHUQHWHYLGHQFHLVDGPLVVLEOH 8QGHU3DUDGHDOLQJZLWKGRFXPHQWVWKHOHDUQHGDXWKRUVDLG“the rule against hearsay applies equally to documents and it is relevant both to the authenticity of the document (that, for example it was signed by the person whose signature purports to be on it ) and its content”.  ,Q WKH FDVH RI /RUUDLQH VXSUD WKH FRXUW KDG WR GHDO ZLWK SURYLVLRQV LQ D 6WDWXWH±W K H  )HGHUDO 5XOHV RI (YLGHQFH DQG WKH FRXUW DGYRFDWHG  VWHSV DQDO\VLV WR GHDO ZLWK KHDUVD\ LVVXHVLQLQWHUQHWSULQWRXWV7KHUHDUHVHSDUDWHTXHVWLRQVWREHDUJXHG  'RHVWKHHYLGHQFHFRQVWLWXWHDVWDWHPHQWDVGHILQHGE\UXOHD  :DVWKHVWDWHPHQWPDGHE\DGHFODUDQWDVGHILQHGE\UXOHE  ,V WKH VWDWHPHQW EHLQJ RIIHUHG WR SURYH WKH WUXWK RI LWV FRQWHQWV DV SURYLGHG E\ UXOH F  ,VWKHVWDWHPHQWH[FOXGHGIURPWKHGHILQLWLRQRIKHDUVD\E\UXOH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̱ͳ͹̱   :DVWKHVWDWHPHQWPDGHE\D'HFODUDQWDVGHILQHGE\(YLGHQFH'R FXPHQWDU\$FWRU WKH&RPPRQ/DZ\HV  :DVLVWKHVWDWHPHQWEHLQJRIIHUHGWRSURYHWKHWUXWKRILWVF RQWHQWVXQGHU&RPPRQ /DZ\HV $JDLQVWWKHDIRUHVDLGVFHQDULRLWRXJKWQRWWRKDYHEHHQDG PLWWHGHYHQWKRXJKWKHUHZHUH QRREMHFWLRQV:RUVHVWLOOLWZDVQRWWKHUHTXLUHPHQWWKDWLW PXVWEHDGPLVVLEOHZKLFKEHLQJ KHDUVD\LWZDVQRWEXWDOVRWKHIDFWWKDWWKHLQWHUQHWHYLGHQ FHZDVQRWDXWKHQWLFDWHGEHIRUH EHLQJ DGPLWWHG 7KH OHDUQHG DXWKRU 3KLSVRQ RQ (YLGHQFH DERYH PD NLQJ UHIHUHQFH WR WKH FRPPRQ ODZ WRXFKHG RQ LW ZKHQ KH VDLG WKH UXOH DJDLQVW KHDUVD\ DSSOLHV HTXDOO\ WR GRFXPHQWVDQGLWLVUHOHYDQWERWKWRWKHDXWKHQWLFLW\RIWKHGRFXPHQWWKDWIRUH[DPSOHLWZDV VLJQHGE\WKHSHUVRQZKRVHVLJQDWXUHSXUSRUWVWREHRQLW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µ6 2<67(5 $1' 6+5,03 ,1&  ) 6833 ' 6' 7(;  6(( $/ 62 1$7,21$/ /$: 5(9,(: VXSUDLW ZDV KHOG WKDW“any one can put anything on the internet. No website is monitored for accuracy and nothing contained therein is under oath or even subject to independent verification absent underlying documentation. Moreover the court holds no illusions that hackers can adu lterate the content on the website from any location at any time. For these reasons , any evidence procured off the internet is adequate for almost nothing” %XW LQ WKH FDVH RI /RUUDLQH  VXSUD ZKHUH WKH SODLQWLII VRXJKW WR UHFRYHU GDPDJHV WR D ERDW WKDW KDG EHHQ VWUXFNE\ OLJKWQLQJ XQGHU KLV LQVXUDQFH SROLF\ WKH GHIHQGDQWV SDLG WKH LQLWLDO FODLP +RZHYHU ODWHU WKHUH ZDV D VH FRQG FODLP ZKHQ IXUWKHU GDPDJH ZDV GLVFRYHUHG WR WKH KXOO RI WKH ERDW 7KH SDUWLHV WKHQ VRXJKW WR UHO\ RQ YDULRXV  ̱ͳͺ̱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7KLVZDVQRWVRSUHVHQWHGLQWKHFDVHDWKDQG 6HFRQGO\\RXFDQQRWFDOOVRPHWKLQJDVDXWKHQWLFZKHQQRWLQJ WKDWLWLVLQWHUQHWHYLGHQFH ZLWK DOO LWV DWWHQGDQW SUREOHPV DV WR UHOLDELOLW\ FRPSOHWHQHVV DQG DFFXUDF\ \RX KDYH QRW FDOOHG RU KDGDIILGDYLW HYLGHQFH RI WKH SHUVRQ ZKR PDGH WKH VWDWHPHQW DQG ZKR DORQH LVLQ SRVLWLRQWRFODULI\ZKHWKHULWZDVDXWKHQWLF  ̱ͳͻ̱  7KLUGO\\RXFDQQRWFDOOVRPHWKLQJDXWKHQWLFZKHQIROORZLQJW KH5HVSRQGHQWV¶DIILGDYLW RI WK-DQXDU\ZKLFKSXWVRXWWKHDOOHJDWLRQDVFRQWDLQHGLQH[K LELWV-. /3 25DQG6 DERYH DQG \HW WKH SHUVRQ WR ZKRP LW LV PDGH DJDLQVW UHSOLHV LQKHU DIILGDYLW LQ RSSRVLWLRQ VZRUQWRRQWKHWK)HEUXDU\WKXV “Class Legal Limited has for the past 5 years been recognised for its quality of service to clients. It is therefore referenced in a number of international directories but this is through no intervention of the company contrary to the assertion of Mr Yada Hashim Williams in his affidavit of 30th January 2012. The company is not aware of its listing in the Sierra Leone.org Website and has NOT found / submitted its name among websites of solicitors and solicitors firms in the Sierra Leone .org Website. The firm’s only local advertisement is in the Yellow Pages Sierra Leone in which it is clearly listed amongst Consultancy firms and internationally, in the Corporate International Magazine where it is also profiled as a successful consultancy”. %XWWKHQDIWHUVXFKDUHSO\ZKLFKWRDOOLQWHQWVDQGSXUSRVH VLVVD\LQJ,ZHKDYHQRSDUWLQ WKHPDNLQJRIWKDWVWDWHPHQWQRSDUWLQWKHFUHDWLRQRIWKDW GRFXPHQW±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¶VTXDOLILFDWLRQVDUHXQGLVSXWHG6KHLVD6ROLFLWRUIURP(QJODQGDQG:DOHV  ̱ʹͲ̱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duces tecum ad testificandum by the author himself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¶ FRXQVHO ZDVUHO\LQJRQZHUHWKHLUFUHDWLRQZKLFKWRDOOLQWHQWVDQGSXUSRVHVQHYHURIIHQGHGWKH/3$ $WKLUGLVVXHRQWKHLQWHUQHWSULQWRXWLVWKDWWKHUHLVQR ODZRQWKHVXEMHFWDVWKH(YLGHQFH 'RFXPHQWDU\$FW&DS/DZVRI6LHUUD/HRQHIDOOVVKRUW2QHDU HDLWIDOOVVKRUWLVWKHLVVXH RIWKHRULJLQDOVEHLQJFDOOHGLQZLWKUHIHUHQFHWRHOHFWURQLFDO O\VWRUHGLQIRUPDWLRQ ± LQWHUQHW SULQWRXWV LQFOXGHG :LWK LQWHUQHW HYLGHQFH WKHUH LV D UXOH HVWDEOLVKHG LQ 6WDWXWHV FRYHULQJ VDPH WKDW“duplicates are co-extensively admissible as originals unless there is a genuine issue as to authenticity of the original or the circumstances show that it would be unfair to admit a duplicate in lieu of the original ” ,Q WKH FDVH DW KDQG ZH QRWH WKDW WKH (YLGHQFH 'RFXPHQWDU\ $FW &DS  VXSUD VD\V WKDW WKH RULJLQDOV VKRXOG EHDGPLWWHG DQG LI WKH VDPH ZKHUHQRWSURGXFHGDFHUWLILHGWUXHFRS\PXVWEHSURGXFHG6HH 6HFWLRQWKHUHRI:HDUH DOVRYHU\FHUWDLQWRRWKDWLWZDVQRWWKHRULJLQDOQRUFHUWLILH GFRS\WKDWZDVSURGXFHGDVWKHUH LVQRWKLQJIURPWKHLQWHUQHWSULQWRXWVZKLFKVKRZVWKDWLWFDPH IURP&KDPEHUVDQG3DUWQHUV  ̱ʹͳ̱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 WKH FDVHV ZKHUH VKH VW DSSHOODQW VHUYHG IRU WKH *RYHUQPHQW RI  6LHUUD /HRQH DQG E  WKH FDVH ZKHUHVKHGLGQRWZRUNIRUWKH*RYHUQPHQWRI6LHUUD/HRQH5HJD UGLQJWKHFDVHVZKHUHVKH ZRUNHGIRU6LHUUD/HRQH*RYHUQPHQWWKHUHLVQRSUREOHPZLWKWKHVHEHFDXVHHYHQWKRXJKVKH ZDV XQTXDOLILHG WR SUDFWLFH EHFDXVH VKH ZRUNHG IRU 6LHUUD /HRQH  *RYHUQPHQW XQGHU WKH $WWRUQH\*HQHUDO¶VRIILFHVKHZDVSXUVXDQWWRVHFWLRQRIWKH/3$H[HPS WHGWRSUDFWLFH DV OHJDO SUDFWLWLRQHUODZ\HU EXW HYHQ WKHQ ZH GR QRW NQRZ RI KHU S UDFWLFLQJ DV D OHJDO SUDFWLWLRQHUZLWKLQWKHFRQWH[WRIWKH/3$2QEZKHQVKHGLG QRWZRUNIRUWKH*RYHUQPHQW XQGHUWKH$WWRUQH\* HQHUDO¶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̱ʹʹ̱  :LOOLDPVDQGHYHU\ERG\NQRZVWKDWEXWDFRPSDQ\FDQUHQGHUFRUS RUDWHDGYLVRU\DQGOHJDO VHUYLFHVVXFKDVJLYLQJRSLQLRQVDQGDGYLFHWKURXJKLWVDJHQWVDQGRIILFHUV 0XFKDWWHQWLRQLVSDLGRQKHUDIILGDYLWVKHVDLGVKHZDVDVROLFLWRUTXDOLILHGLQWKH8.7R EHDVROLFLWRULQWKH8.WKLVFRXUWZRXOGWDNHMXGLFLDOQRWLFH WKDWVKHPXVWILUVWDWWDLQDODZ GHJUHHWKHQEHLQYROYHGLQWUDLQLQJDVDVROLFLWRU)URPH[KLEL W*ZKLFKZDVKHUFUHDWLRQZH OHDUQ WKDW VKH LV D JUDGXDWH IURP XQLYHUVLW\ RI .HHOH ZLWK //%+RQV $V VROLFLWRUV IURP :DOHV (QJODQGDQGDVJUDGXDWHVIURPDXQLYHUVLW\RIODZQHL WKHURIWKHPKDGWKHSRZHU WR SUDFWLFH ODZ E\ FRPLQJ WR FRXUW DQG DUJXLQJ RU UHSUHVHQWLQJ FOLHQWV DV FDQ D /HJDO SUDFWLWLRQHUEDUULVWHUDQGVROLFLWRUDQGWKLVLWDSSHDUVWRXV WKH\QHYHUGLGRUYHQWXUHGWRGR :KHQPDWWHUVUHDFKHGWKDW VWDJHZKDW ZHVDZIURP WKHHYLGHQFHL V WKDW WKH\ RXWVRXUFHGWR %DUULVWHUV DQG 6ROLFLWRUV &ODVV /HJDO /WG ZDV D FRPSDQ\ DQG DV D FRPSDQ\ WKDW FRPSDQ\ FDQQRW SUDFWLFH ODZ EXW LW FDQ RSHUDWH DV D FRPSDQ\  FRQVXOWLQJ I L U P D Q G J L Y H D G Y L F H D Q G  RSLQLRQV QRW RQO\ LQ RWKHU DUHDV EXW LQ ODZ ,Q VXFK VLWXDWLRQV  LW FDQ UHQGHURIIHU OHJDO VHUYLFHV:KLOHWKLVZDVQHYHUEH\RQGWKHUHPLWRIWKH VWQGDQG UG$SSHOODQWVWKH/3$ LVVLOHQWRQWKLVH[SUHVVO\RULPSOLHGO\DQGLWZRXOGEHZURQJWRVD\WKHVWDQGQG$SSHOODQWV DJDLQVWWKHVHEDFNJURXQGKHOGRXWDVEHLQJFDSDEOHRIRIIHULQJVHUYLFHVDVOHJDOSUDFWLWLRQHUV 7KH $SSHDO WKHUHIRUH VXFFHHGV RQ WKLV JURXQG RQ WKH  OLPEV DUJXHG E\ WKH $SSHOODQWV¶ &RXQVHO *URXQG 7XUQLQJWR *URXQGZKLFKLVWKDWWKHOHDUQHGWULDO-XGJH HUUHGLQODZZKHQVKHJDYHD ZLGHLQWHUSUHWDWLRQWRWKHWHUP³OHJDOFRQVXOWDQWV´DQGKHOGWKDWWKH/HJDO3UDFWLWLRQHUV$FWDV LWLVFXUUHQWO\GUDIWHGDSSOLHVWR ³OHJDOFRQVXOWDQWV¶,WUHODWHVWRDQGKDVDEHDULQJRQRUGHUV DQGJUDQWHGE\WKH+RQRUDEOHWULDO-XGJHDQGVS HFLILFDOO\UHODWHVWRWKH VWQG DQGUG$SSHOODQWVDOOHJHGO\SXUSRUWLQJDQGRUKROGLQJWKHPVHOYHVRXW DVFDSDEOHRIRIIHULQJ OHJDOVHUYLFHVDQGOHJDOFRQVXOWDQFLHVLQ6LHUUD/HRQH7KLVWR P\PLQGEHJVWKHTXHVWLRQRI ILUVWO\ZKDWDUH³OHJDOVHUYLFHV´DQGZKRLVD³OHJDOFRQVXOWDQW¶DQGVHFRQGO\ZKHWKHULQIDFW KROGLQJRXWDVFDSDEOHRIRIIHULQJOHJDOVHUYLFHVDQGOHJDOFRQ VXOWDQFLHVRIIHQGVDJDLQVWWKH /3$7KH$SSHOODQWV¶FRXQVHODUJXHGDVIROORZV L 7KDWWKH/HDUQHG7ULDO-XGJHWRRNRQWKHUROHRIWKHOHJLVO DWRUVE\H[WHQGLQJWKH/HJDO 3UDFWLWLRQHU¶V$FWWRFRYHUOHJDOFRQVXOWDQWVZKHQWKH/HJDO3U DFWLWLRQHU¶V$FWPDNHV QR UHIHUHQFH WR OHJDO FRQVXOWDQWV +H DUJXHG WKDW QRZKHUH LQ WKH /HJDO 3UDFWLWLRQHUV $FWZDVWKHWHUP/HJDO&RQVXOWDQWVXVHG  ̱ʹ͵̱  LL 7KDW WKH /HDUQHG 7ULDO -XGJH¶V ZLGH LQWHUSUHWDWLRQ RIWKHWHUPµ/HJDO FRQVXOWDQWV¶DV UHIHUULQJ RQO\ WR OHJDO SUDFWLWLRQHUV LV HUURQHRXV LQ WKDW WKH GUDIWHUV RI WKH /HJDO 3UDFWLWLRQHU¶V $FW GLG QRW HQYLVDJH WKH UHJXODWLRQ RI³OHJDO &RQVXOWDQWV´ ZLWKLQ WKH FRQWH[WRIWKH/HJDO3UDFWLWLRQHU¶V$FWDQG LLL 7KDWWKH/HDUQHG7ULDO-XGJH¶VZLGHLQWHUSUHWDWLRQRIWKHWHUP µOHJDOFRQVXOWDQWV¶DQG KROGLQJWKDWLWLVFRYHUHGE\WKH/HJDO 3UDFWLWLRQHU¶V$FWOHDGVWRDUHVWUDLQWRIWUDGHDQG RIIHQGV SXEOLF SROLF\  +H DUJXHG WKDW SHUVRQV ZLWK //% 'HJUH HV ZKR KDYH QRW EHHQ HQUROOHGDV%DUULVWHUV 6ROLFLWRUVWRSUDFWLFHODZLQ6LHUUD/ HRQHKDGDOZD\V EHHQHQJDJHG DV /HJDO $GYLVHUV&RQVXOWDQWV LQKRXVH LQ 3XEOLF ,QVWLWXWRUV  1RQ*RYHUQPHQWDO 2UJDQL]DWLRQV3ULYDWH6XSHUYLVRUVHWFLQDQGRXWRI6LHUUD/H RQH:KLOVWWKHVHLQGLYLGXDOV ZULWH RSLQLRQV IRU WKHLU HPSOR\HUV ZRUN UHJXODWHG E\ WKH /HJDO 3UDFWLWLRQHU¶V $FW LV RXWVRXUFHGWRTXDOLILHGSHUVRQVWRXQGHUWDNH 'HFUHHLQJWKDWSHUVRQVZKRKROGODZGHJUHHV DUH QRW TXDOLILHG WR VHUYH DV OHJDO FRQVXOWDQWV IRU FRPSDQLHV1*2V DQG RWKHU LQVWLWXWLRQV ZRXOGVHUYHDVDUHVWUDLQWRIWUDGHDQGZRXOGRIIHQGSXEOLFSROLF\  ,Q KLV UHVSRQVH WKH UHVSRQGHQWV¶ &RXQVHO UHIHUUHG WKLV &RXUW WR 6HFWLRQ  RI WKH /3$ ZKLFKSURYLGHVWKDW³6XEMHFWWRWKLV$FWQRSHUVRQVKDOOHQJDJH LQWKHSUDFWLFHRIODZ LQ6LHUUD/HRQH XQOHVVKHKDVEHHQDGPLWWHGDQGHQUROOHGDVDOHJDOSUDFWLWLRQ HUXQGHUWKLV $FW´+HDUJXHGIXUWKHUWKDW ³8QTXDOLILHGSHUVRQ´KDVEHHQGHILQHGLQ6HFWLRQRIWKH/3$  DV“a person not enrolled under Section 16 of the LPA2000”  QRWLQJ WKDW 6HFWLRQ  SURYLGHV IRU D 5ROO RI &RXUW ZKHUH WKH QDPHV DQG SDUWLFXODUV RI WKRVH SHUVRQV DGPLWWHG WR SUDFWLFH ODZ LQ 6LHUUD /HRQH DUH HQWHUHG +H YHKHPHQWO\ DUJXHG  VXEPLWWHG WKDW WKH /3$ ZDV³DSSOLFDEOHWRDOOSHUVRQVZKRSHUIRUPOHJDOIXQFWLRQVRURIIHUOHJDOVHUYLFHVLQ WKHMXULVGLFWLRQRI6LHUUD/HRQHZKHWKHUWKH\UHIHUWRWKHPVHOY HVDVOHJDOSUDFWLWLRQHUV RU QRW ´ +HQFH KH FRQFOXGHG WKH MXULVGLFWLRQ RI WKH /3$  H[WHQGV WR OHJDO FRQVXOWDQWVOHJDODGYLVRUVDQGOHJDORIILFHUV DQGWKHUHIRUHSHUVRQVZKRDUHQRWDGPLWWHGWR SUDFWLFH ODZ SXUVXDQW WR 6HFWLRQV  ±  RI WKH /3$  DUH QRW TXDOLILHG DQG RU DXWKRUL]HGWRSURYLGHOHJDOVHUYLFHVLQDQ\RIWKHDIRUHPHQWLRQ HGFDSDFLWLHV7KXVWKH7ULDO -XGJH¶V KROGLQJ WKDW WKH $SSHOODQWV DUH OHJDO FRQVXOWDQWV KHQFH VXEMHFW WR WKH SURYLVLRQV RI WKH /3$ ZDV QRW DQ H[WHQVLRQ RI WKH /3$ EXW DQ DSSOLFDWLRQ RI WKH VDPH DQG VKH ZDV WKHUHIRUHFRUUHFWLQFRPLQJWRWKHFRQFOXVLRQVKHPDGHJUDQWLQJWKHVHYHUDORUGHUVSUD\HGIRU ,WLVLQGHHGWUXHWKDWQRZKHUHLQWKH/3$1RDQGLW DPHQGPHQWVWKHUHDIWHUKDV WKH WHUP OHJDO VHUYLFHV RUOHJDO FRQVXOWDQW EHHQ GHILQHG ,QWKH EXVLQHVV RI LQWHUSUHWDWLRQ RI  ̱ʹͶ̱  VWDWXWHVWKH-XGJHVGRKDYHWKHGXW\WRGLVFHUQWKHLQWHQWLRQR ISDUOLDPHQWDQGLQWKHSURFHVV PD\PDNHODZODZVZKLFKSXUVXDQWWRVHFWLRQRIWKH&RQVWL WXWLRQ$FW1RRIGR IRUPSDUWRIWKHODZVRI6LHUUD/HRQH6RLQJHQHUDOLWZRXOGE HZURQJWRVD\WKDWWKHOHDUQHG WULDOMXGJHZDVZURQJWRFRPHXSZLWKZKDWVKHZDVFRQYLQFHG ZD VWKHPHDQLQJRI ³/HJDO 6HUYLFHV´DQG ³/HJDO&RQVXOWDQW ´EXWKDYLQJGRQHVRLWLVOHIWZLWKWKLVFRXUWWRGHWHUPLQH ZKHWKHUWKHFRQFOXVLRQFRXOGEHMXVWLILHGLQYLHZRIZKDWLVSU RYLGHGXQGHUWKH/3$1RRI  $VVWDWHGWKH/3$GRHVQRWGHILQH ³OHJDOFRQVXOWDQWV ´EXWRQO\ ³OHJDOSUDFWLWLRQHUV ´,W  GHILQHV/HJDO3UDFWLWLRQHUWKXV³$Q\SHUVRQDGPLWWHGDQGHQUROOHGWRSUDFWLFHODZDV%DUULVWHU DQGVROLFLWRU´6HFWLRQRIWKH/3$ JRHVIXUWKHUWRH[SODLQZKDWWKHUROHRIWKH%DUULVWHURU VROLFLWRUOHJDOSUDFWLWLRQHULVXQGHUWKH/3$WKHOLPLWVRUSD UDPHWHUVRIKLVIXQFWLRQV7KXV WKHUROHRIDOHJDOSUDFWLWLRQHUDVFRXOGEHVHHQIURPVHFWLRQ DQGWKH,QWHUSUHWDWLRQ$FWRI WKH/3$LVDWRSUDFWLFHLQDQ\FRXUWRIODZRUDQ\RWKHU WULEXQDOOHJDOSURFHHGLQJVRU DQ\ PDWWHU ZKHUH KLV VHUYLFHV DUH UHTXLUHG ZKHWKHU DV EDUULVWHU V RU VROLFLWRU RU ERWK DV EDUULVWHUDQGVROLFLWRUEWRRSHUDWHDVDQRIILFHURIWKH&RXU WRIZKLFKKHLVRQH)URPWKHVH SURYLVLRQV WKH LPSUHVVLRQ IRUPHG LV WKDW IRU \RX WR EH D OHJDO SUDFWLWLRQHU \RX PXVW EH HQUROOHGLQWKH5ROOVRI&RXUWSXUVXDQWWRVHFWLRQDQGEHLQY ROYHGLQFRXUWZRUNDQGKDYH DQDXGLHQFHLQFRXUW:KHUH\RXDUHQRWVRLQYROYHG\RXDUHQR WLQYROYHGLQWKHSUDFWLFHRI WKH ODZ RU D OHJDO SUDFWLWLRQHU EDUULVWHU DQG VROLFLWRU VR FDOOHG 7KH DSSHOODQWV LW ZRXOG DSSHDUWRWKLVFRXUWTXLWHGLVWLQFWO\GLGQRWKLQJRIWKHQDWXU HRIDRUEDERYH6HFWLRQRI WKH/3$ JRHVRQWRH[SODLQWKHOLPLWVRIWKLVIXQFWLRQIXUWKHU E\VWDWLQJ “Notwithstanding any enactment to the contrary no unqualified person shall draw or prepare any instrument or endorse or cause to be endorsed in any such instrument his name address or both ”. &OHDUO\ OHJDO SUDFWLWLRQHUV SHUIRUPLQJ WKH DERYH UROHV DUH SHUI RUPLQJ OHJDO VHUYLFHV UHFRJQLVHGE\WKH/3$DVWREHSHUIRUPHGE\DOHJDOSUDFWLWLRQH URU%DUULVWHUDQG6ROLFLWRU %XWDUHWKHVHWKH RQO\OHJDOVHUYLFHVNQRZQLQWKHSURIHVVLRQR IODZ LQ6LHUUD/HRQH ±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̱ʹͷ̱  OHJDO IXQFWLRQV RU RIIHU OHJDO VHUYLFHV LQ WKH MXULVGLFWLRQ RI6LHUUD /HRQH ZKHWKHU WKH\ UHIHUWRWKHPVHOYHVDVOHJDOSUDFWLWLRQHUVRUQRW´ 7KLVQRGRXEWFDOOVIRUDGHWHUPLQDWLRQRIZKRDOHJDOFRQV XOWDQWLV:KRWKHQLVD ³OHJDO FRQVXOWDQW´"7RJHWDSURSHUGHILQLWLRQRI WKHZRUG ³OHJDOFRQVXOWDQW ´RQHPXVWQRWHWKDWLW FRPSULVHVVHSDUDWHZRUGV³OHJDO´DQG³FRQVXOWDQW´DVRQHZRUGEXWXQOLNHWKHGHILQLWLRQRI /HJDOSUDFWLWLRQHUZKLFKWRRFRPSULVHGVHSDUDWHZRUGVDVRQH ZRUGEXWZDVGHILQHGLQWKH LQWHUSUHWDWLRQ VHFWLRQ DQG VHFWLRQ  RI /3$ LW ZDV QRW VR GHVFULEHG ,Q WKH 2;)25' &203$1,2172/$:%<'$9,':$/.(5 ³/HJDO´PHDQV“that which is lawful or according to or consistent with law and not contrary to law ”  %/$&.6 /$: ',&7,21$5<7+(',7,21 DOVRGHILQHVOHJDODV “of or relating to law falling within the province of law 2) established, required or permitted by law ´ &RQVXOWDQW LQ 7+( &21&,6( 2;)25' ',&7,21$5< 7+80% ,1'(; (',7,21 ±7 + ( 1 ( :  (',7,21 )25 7+( ¶6 LV GHILQHGDV “a person providing professional advice for a fee” ,1 7+( 2;)25' $'9$1&(' /($51(56 ',&7,21$5<  D FRQVXOWDQW LV GHILQHG DV“a person who knows a lot about a particular subject and is employed to give advice about it to other people.”  &RPELQLQJ WKH WZR GHILQLWLRQV WR WRJHWKHU D ³OHJDO FRQVXOWDQW´E\LQIHUHQFHWKXVEHFRPHV“a person providing professional advice according to or consistent with the law for a fee ”6RZHVHHWKDWWKHFHQWUDOWKHPHRID ³OHJDOFRQVXOWDQW´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¶UROHYLVDYLVWKH/3$LVUHVWULFWHGRQSUDFWLFHIRUZKLFK WKH/HJDO&RQVXOWDQWSOD\VQRSDUW%XWWKLVFRXUWZLOOWDNHMX GLFLDOQRWLFHRIWKHIDFWWKDWWKH WHUP³OHJDOFRQVXOWDQW´LVQRWUHVWULFWHGWRRUH[FOXVLYHWRWKRVHLQWKHSUDFWLFHRI ODZLQWKH FRXUWV DV DGPLWWHG DQG HQUROOHG  7KDW LV LQ IDFW DQRWKHU UHDVRQ ZK\ LW ZDV QHYHU XVHG WR GHILQHD /HJDO 3UDFWLWLRQHU ZKRVH UROHLV /LPLWHG WR SUDFWLFH LQODZDVOLPLWHGE\WKH/3$ $JDLQVWZKDWZHKDYHVHHQDVZKRFRQVWLWXWHVDOHJDOFRQVXOWDQ WLWGRHVLQFOXGHSHRSOHWKDW  ̱ʹ͸̱  DUH QRW OHJDO SUDFWLWLRQHUV ZLWKLQ WKH FRQWH[W RI /3$ EXW DUH LQYROYHG LQ SURIIHULQJ OHJDO VHUYLFHVLHDGYLFHDQGRSLQLRQV7KH\KDYHODZGHJUHHVDQGVROLFLWRUV¶TXDOLILFDWLRQEXWWKHLU GXW\ VWRSV DW SURIIHULQJ DGYLFH DQG OHJDO RSLQLRQ ZLWKRXW JRLQJ WR FRXUW 7KH\ DUH SHUVRQV ZLWKOHJDOTXDOLILFDWLRQVRI//%+RQVRU//0ZLWKQR%DUULVWHU DW/DZFHUWLILFDWHVEXWDUH DOVRUHJDUGHGDVOHJDOFRQVXOWDQWVLIWKH\FDQSURIIHURSLQLRQV RQODZDQGDGYLVHLQODZ$UH ZH VD\LQJ WKHVH OHJDO TXDOLILFDWLRQV ODZ GHJUHHV DUH XVHOHVV ZLWKRXW VXFK SHUVRQV EHLQJ FDOOHG D ODZ\HUOHJDO SUDFWLWLRQHUEDUULVWHU DQG VROLFLWRU ZLWK L Q W K H F R Q W H [ W R I W K H / 3 $ ± HQUROOHG DQG DGPLWWHG WR SUDFWLFH ODZ DV %DUULVWHUV DQG 6ROLFLW RUV" 3HUKDSV WKLV LV WKH LPSUHVVLRQ FUHDWHG E\ WKH UHVSRQGHQWV DQG WKDW LV ZK\ HYHU\ERG\ ZDQWV WR JR WR WKH ODZ VFKRRODIWHUJUDGXDWLQJIURPWKH8QLYHUVLW\ZLWKD/DZGHJUHH ,WLVZURQJ&HUWDLQO\IURP RXU UHDGLQJ RI WKH /3$ LW ZDV QRW WKH LQWHQWLRQ RI SDUOLDPHQW WR PDNH SHRSOH ZLWK ODZ GHJUHHVUHGXQGDQWLQVRIDUDVJLYLQJRSLQLRQVDQGDGYLVH ±WKDWDJDLQLVLQIDFWZK\WKHZRUG ³OHJDOFRQVXOWDQW´ZDVQRWXVHGWRGHVFULEHOHJDOSUDFWLWLRQHUVLQWKH$FWEXWU DWKHUWRHTXLS WKRVHZLWKWKHVSHFLDOUHTXLUHGTXDOLILFDWLRQDIWHUODZGHJUHH LHODZVFKRROLQ6LHUUD/HRQH DQG WKH FURZQLQJ %/ FHUWLILFDWH WR EH HQUROOHG WR SUDFWLFH LQ R XU FRXUWV %HFDXVH OHJDO SUDFWLWLRQHUV WR ZLW ³%DUULVWHUV DQG 6ROLFLWRUV´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 DQG D OHJDO FRQVXOWDQW ZKR LV OHJDO 3UDFWLWLRQHU ODZ\HU LV WKDW D OHJDO FRQVXOWDQWQRWDOHJDOSUDFWLWLRQHUFDQSURYLGHDGYLFHDQGRSLQLRQLQVRPHSDUWLFXODUH[SHUWLVH EXWFRXOGQRWJRDQGUHSUHVHQWDFOLHQWLQFRXUWWULEXQDORUDQ RWKHUOHJDOSURFHHGLQJV H[FHSW KHRUVKHRXWVRXUFHVFRXUWPDWWHUVWRDOHJDOSUDFWLWLRQHU2Q WKHRWKHUKDQGDOHJDOFRQVXOWDQW ZKRLVDOHJDOSUDFWLWLRQHUODZ\HULVDOHJDOFRQVXOWDQWZLWKD OLFHQFHWRSUDFWLFHLHHQUROOHG  ̱ʹ͹̱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±DFWDVOHJDOFRQVXOWDQWV7KLVWKH\GRLQFRQVXOWLQJILUPVRU  LQ1*2&RPSDQLHVDQGRWKHULQVWLWXWLRQV7KH/3$DVLWLVFXUU HQWO\GRHVQRWDSSO\WROHJDO FRQVXOWDQWVDQGGRHVQRWPDNHDQ\UHVWULFWLRQVWRVXFKSHRSOHH[SUHVVO\RULPSOLHGO\DQGZLWK UHIHUHQFHWRGRLQJWKDWNLQGRIZRUN7KHRQO\UHVWULFWLRQLV ³WRSUDFWLFHODZ ´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H[HUFLVHRIUL JKWRIDXGLHQFHEWKHFRQGXFWRI OLWLJDWLRQ F UHVHUYHG LQVWUXPHQW DFWLYLW\ G SUREDWH DFWLYLWLHV H 1RWDULDO DFWLYLWLHV DQG I DGPLQLVWUDWLRQRI2DWKVDQGOHJDODFWLYLWLHVGRHVLQFOXGHJLYL QJRIDGYLFHDQGRSLQLRQVXQGHU WKHVDLG/HJDO6HUYLFHV$FW ,Q6LHUUD/HRQHWKH/3$LVQRWDVFU\VWDOEXWHYHU\RQHFRXO GVHHWKDWZKDWVHFWLRQV DQGJLYHVDVWKHUROHRIWKHOHJDOSUDFWLWLRQHUGRHVLPSOLHG O\FRYHUDOPRVWDOORIWKHDERYH  ̱ʹͺ̱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¶FRXQVHOWKDWLWEHFRPHVDUHVWUDLQWRIWUDGHWRVD\SHUVRQVZLWKODZ GHJUHHVOLNHWKHDSSHOODQWVFDQQRWRIIHUOHJDOVHUYLFHVRUOHJDODGYLVRU\,QWKH+RXVHRI/RUGV GHFLVLRQ RI3+$50$&(87,&$/ 62&,(7< 2) *5($7 %5,7$,1 96 ',;21  /RUG0RUULVKDGWKLVWRVD\RQWKHVXEMHFWRIUHVWUDLQWRIWUDGH “The law has always favoured freedom of trade and has discountenanced restraint on trade. Thus in the notable cases of Michel v Reynolds (1714) 1.P. WMS 181; 45 Digest REP1 395,110 ; Nagle v Feilde n it was held that “ In all restraints of trade where nothing more appears the law presumes them bad. ’ T he same approach was adopted in NORDENFELT v MAXIM NORDEN FELT GUNS V AMMMUNITION CO LTD HL decision 1891-94 ALL ER Rep where it was said that to the general rules there are some exceptions as if a restraint is only particular as to time or place and if there is good consideration given to the one restrained. So likewise, if the restraint appear to be of a manifest benefit to the public. In more recent statement of what is after all a rule of public policy it was emphasised that to support a restraint of trade and interference with  ̱ʹͻ̱  individual liberty there must be sufficient justification ........ the restriction must be reasonable, or desirable, or necessary” 3XWWLQJWKHDERYHLQWRFRQWH[WRQHFRXOGVHHWKDWWRVD\W KDWSHRSOHTXDOLILHGLQWKHODZ FDQQRWJLYHDGYLFHRURSLQLRQVRUDFWDVOHJDOFRQVXOWDQWVZRXO GRIQHFHVVLW\EHDUHVWUDLQWRI WUDGH DQG DQ LQWHUIHUHQFH ZLWK SHUVRQDO RU LQGLYLGXDO OLEHUW\ DV WKH\ KDYLQJ TXDOLILHG ZLWK WKHLU XQLYHUVLW\ GHJUHHV DUH SUHYHQWHG IURP GLVSOD\LQJ WKHLU LQWHOOHFWXDO SURZHVV LQ KHOSLQJ SHRSOHRXWRUIRUWKHSXEOLF¶VEHQHILW,QWKHZRUGVRI/RUG0DFQDJWHQLQ 125'(1)(/79 0$;,0 125'(1 )(/7 *816 9 $00081,7,21 &2 /7' +/ GHFLVLRQ  $//(55HS“trading is discouraged if a man who has built up a valuable business is not to be permitted to dispose the fruits of his labours to the best advantage ´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±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̱͵Ͳ̱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the defendant was an inquiry agent. At a meeting between his clients and the police he led the police to believe that he was representing a firm of  ̱͵ͳ̱  solicitors. He did not call himself a solicitor but said that he was a legal adviser. He was charged before justices that he being an unqualified person wilfully pretended to be qualified as a solicitor contrary to section 19 of the Solicitors Act 1957 ,QWKDWFDVHWKHGHIHQGDQWZDVDQLQTXLU\DJHQW$QLQTXLU\ DJHQWLVDQRWKHUQDPHIRUD GHWHFWLYHRUDQLQYHVWLJDWRU+HKDGQRWKLQJWRGRZLWKODZ 7KHUHLVQRWKLQJWRVKRZWKDW KHVWXGLHGODZEHIRUHEHFRPLQJDQLQTXLU\DJHQWDQGKHGLGQRW FDOOKLPVHOIDVROLFLWRU  ,QWKLVFDVHWKHVWDSSHOODQWLQKHUDIILGDYLWGLGVD\VKHZDV DVROLFLWRUDQGDTXDOLILHGRQH IURP8.±6KHVWXGLHGODZDQGEHFDPHRQHDIWHUJRLQJWKURXJKWKHWUDLQLQ JZKLFKWUDLQLQJLV GLIIHUHQWIURPSXSLOODJHDVZRXOGDSHUVRQZDQWLQJWREHFRPHD EDUULVWHUDQGVROLFLWRU,WZDV WKHVDPHPRUHRUOHVVZLWKWKHQG$SSHOODQW)XUWKHULWLVQRWHGIURPWKHFDVHWKDWWKHLQTXLU\ DJHQWGLGQRWFDOOKLPVHOIDVROLFLWRUEXWVDLGKHZDVDOHJDO DGYLVHU7KDWLQLWVHOI±WKHZD\LW LVFRXFKHGGRHVVXJJHVWVEHLQJDVROLFLWRU\RXDUHDOHJDODGY LVHU6KHKDYLQJXQLYHUVLW\RI ODZ TXDOLILFDWLRQ DQG VKH EHLQJ D VROLFLWRU DQG KH DOVR KDYLQJTXDOLILFDWLRQV LQ HVVHQFH WKH VDPHPHDQWWKH\XQOLNHWKHLQTXLU\DJHQWFDQRIIHUOHJDODGY LFHEHFDXVHRIWKHLUVWXG\RI ODZDVDJDLQVWWKHMERRY v BASTON FDVHZKHUHWKHDFFXVHGZDVQRWHYHQHTXLSSHGWRRIIHU OHJDODGYLFH 7KH,QTXLU\$JHQWLVQRWDSHUVRQNQRZOHGJHDEOHLQODZWRJ LYH OHJDODGYLFHEXW\HWKH ZDVSUHWHQGLQJWREHDVROLFLWRUZKRVHGXW\LVWRJLYHOHJDODG YLFHDQGWKHUHIRUHZDVULJKWO\ IRXQGJXLOW\%XW\RXFDQQRWVD\WKHVROLFLWRULVSUHWHQGLQJWR JLYHOHJDODGYLFHLQDVLWXDWLRQ ZKHUHWKHVROLFLWRU ¶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