Ethics & Progessional Conduct

Question 1

What is the SRA and what do they do?

Answer 1

Solicitors Regulation Authority
-regulates solicitors
-enforces regulations

Question 2

What is the SDT and what do they do?

Answer 2

Solicitors Disciplinary Tribunal

-can strike a name from the role when the SRA request them to do so.

Question 3

What is the LSB and what do they do?

Answer 3

Legal Service Board
-they regulate

Question 4

What are the 7 SRA mandatory principles?

Answer 4

1- RoL & Justice
2- Trust & Confidence
3-independence
4- honesty
5- integrity
6- encourage equality, diversity, and inclusion
7- act in the best interest of each client (avoid conflict of interest)

Question 5

True if False: the Sra code of conduct is for both solicitors and firms

Answer 5

True

Question 6

True or False: the principal that safeguards the wider public interest does not take precedence over an individual client’s interest.

Answer 6

False.
Wider public interest is above client’s best interest.

Question 7

True or False: You can refuse services based on religion.

Answer 7

False.
You must not unfairly discriminate by allowing your personal views to affect your professional relationship and the way in which you provide your services.

Question 8

True or False: firms are required to monitor, report, and publish workforce diversity data, as prescribed by the SRA

Answer 8

True

Question 9

Do you have a legal obligation to provide reasonable adjustments to ensure that disabled clients and employers are not placed at substantial disadvantage compared to those who are not disabled?

Answer 9

Yes, and you must not pass on the cost of these adjustments to others.

Question 10

You must not mislead or attempt to mislead your client, the court, or other others. How can the standard be violated?

Answer 10

By affirmative act, by emissions, or by being complicit in the acts or emissions of others (including your client)

Question 11

You should perform all undertakings within the….., or within a ….. amount of time.

Answer 11

Agreed timescale | reasonable

Question 12

What is an undertaking?

Answer 12

• A written or oral statement
• Someone reasonably places reliance on it
• That you are a third-party will do something or cost something to be done, or refrain from doing something

Question 13

Ideally and undertaking should be:

Answer 13

-given by a solicitor (paralegal counts)
-In writing
-Clearly intended to be an undertaking
-Given only with clients expressed authority
-Recorded on the file
-clear in its terms

Question 14

True or False: you must not miss use or temper with evidence

Answer 14

True

Question 15

True or False: you must not seek to influence the substance of evidence

Answer 15

True

Question 16

True or False: you cannot give money to any witness.

Answer 16

False
You must not provide or offer to provide any benefit to a witness, but you can reimburse them for travel or earnings.

Question 17

If a client tells you he is guilty, but wants to plead not guilty, what do you do?

Answer 17

You can proceed with a not guilty plead, but don’t assert he is not guilty. Don’t lie, but you can withdraw from being their defence.

Question 18

If you find out your client did it after the case is ongoing, what do you do?

Answer 18

Persuade your client to change their plead, or remove yourself from their defence.

Question 19

Authority to act

Answer 19

You can only act by instructions from a client or an authorised person. If something is sketchy, you have to duty to investigate.

Question 20

True or False: you can always hold your client’s money for them.

Answer 20

False.
You must not personally hold client money, unless it relates to advance payments of fees and expenses.

Question 21

Can you take money from referrals and introductions?

Answer 21

Yes. The client must be informed of any financial or other interest which you or your business or employer have in referring the client to another person, or which an introducer has referring the client to you. AKA - as long as they know, it might be okay.

Question 22

Fee sharing agreement

Answer 22

Must be in writing and the client must be informed of any fee sharing agreement that is relevant to their matter.

Question 23

True or False: you can receive payment based on referrals under any circumstances.

Answer 23

False.
You must not receive or make payments related to a referral or introduction in respect of clients who are the subject of criminal proceedings.

Question 24

What is a prohibited referral fee?

Answer 24

Legal Aid, Sentencing and Punishment of Offenders Act 2012 (LASPO) prohibits the payment or receipt of referral fees and claims of damages following personal injury or death.

Question 25

Compliance Officers for Legal Practice (COLP)

Answer 25

Oversees compliance with all legal and ethical duties of the firm. The designated person that reports a breach to the SRA

Question 26

Compliance Officers for Finance and Administration (COFAs)

Answer 26

Focuses only on financial compliance and the safeguarding of client money. The designated person that reports a breach to the SRA

Question 27

What are the types of conflicts

Answer 27

1- own interest conflicts 2- conflict of interest

Question 28

Own interest conflict

Answer 28

A conflict between you and the client

Question 29

Conflict of interest

Answer 29

Conflict between clients

Question 30

True or False: the conflict rule applies to the individual solicitor, not the firm as a whole

Answer 30

False. If it applies to one solicitor, it applies to the whole firm.

Question 31

True or False: if two separate clients agreed to all terms, then you might be okay to retain them both.

Answer 31

True. As long as they agreed to all terms

Question 32

What are the two limited exceptions that exempt you from not acting when there is a conflict between clients.

Answer 32

1- substantial common interest (e.g. opening a restaurant together) 2- competing for the same objective (e.g. two clients bidding for the same restaurant) NOTE: with conditions!

Question 33

What are the conditions to using an exception that allows you to represent two conflicting clientes?

Answer 33

1) clients have given informed consent, given or evidenced in writing, to you acting; 2) when appropriate, you put in place effective safeguards to protect your clients’ confidential information; AND 3) you are satisfied that it is reasonable for you to act for all clients

Question 34

You must keep clients’ affairs confidential unless…

Answer 34

1) disclosure is required or permitted by law; OR 2) the client consents

Question 35

Privilege

Answer 35

Confidential communications only

Question 36

Confidentiality

Answer 36

Applies to all affairs of the client

Question 37

Disclosure is generally allowed in the following circumstances:

Answer 37

-client consent to disclose -Client’s will to an attorney Solicitor being used by the client to perpetrate a crime or fraud -Statutory requirements -Statutory duty -court order or police warrant

Question 38

Duty of disclosure

Answer 38

Must disclose to client any information material to their retainer (subject to limited exceptions)

Question 39

Exceptions to the duty of disclosure

Answer 39

-email from a posting party received by accident If it would cause serious physical or mental injury -Client gives informed consent -National security or prevention of a crime -Privileged documents that were mistakenly disclosed

Question 40

What should you do if the SRA contacts you?

Answer 40

Move on their request and answer fast

Question 41

True or False: If the SRA request that you investigate whether there has been any serious breaches that should be reported to them, you should do so.

Answer 41

True

Question 42

An Engagement Letter is also known as:

Answer 42

Client care letter

Question 43

True or False: VAT has to be specified at the start, cannot be added later

Answer 43

True

Question 44

At the time of engagement, you must inform the client how you handle complaints, including:

Answer 44

Provide in writing the means to: -right to complain -Procedure for complaining -Right to complain to LeO and when

Question 45

LeO

Answer 45

Legal Ombudsman Comes in after the procedure to complain did not suffice, but cannot investigate conduct of complaint

Question 46

How long does a firm have until they have to resolve a complaint?

Answer 46

Eight weeks, then they can go to LeO