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Unit 1 Ethics > 1. Ethics and Regulation > Flashcards

1. Ethics and Regulation Flashcards

1
Q

Which case indicates that society expects something more
from solicitors or that solicitors are expected to adopt higher standards of ethical
behaviour.

A

Law Society (Solicitors Regulation Authority) v Emeana and others [2013] EWHC 2130 (Admin)

Lord Justice Moses said:‘I do not believe
that the public would find it acceptable that those who have behaved in this way should
be allowed to act as solicitors.’

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2
Q

With regard to ethics, the focus, at present, is on the ……. of behaviour

The ethical approach is the one which …. the best …..

The most good (the least ….)

A

Consequences

Produces … outcome

Harm

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3
Q

Which legislation allows the SRA to regulate solicitors?

A

Solicitors Act 1974

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4
Q

As part of its regulatory function, the SRA publishes and enforces rules governing how solicitors behave and conduct their business. Those rules
are contained in the SRA …… and ……..

A

Standards and Regulations

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5
Q

The SRA Standards and Regulations deal with a variety of regulatory matters. Key elements are:

A
  1. The SRA Principles
  2. The SRA Code of Conduct for Solicitors, RELs and RFLs
  3. The SRA Code of Conduct for Firms
  4. The SRA Account Rules
  5. The SRA Glossary
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6
Q

In the manual, paragraphs refer to the ….. … …… … …….

Principles refer to … ……

A

Code of Conduct for Solicitors

SRA principles

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7
Q

The Code of Conduct for Solicitors

contains some specific requirements in respect of …… handling.

A

Complaints

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8
Q

Paragraph …. of the Code of Conduct for solicitors state:

A solicitor must either establish and maintain, or participate in, a ……. for handling
……. in relation to the legal services they provide (Paragraph 8.2).

A

8.2

Procedure

Complaints

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9
Q

Paragraph …. of the Code of Conduct for solicitors state:

A solicitor must ensure that clients are informed in ….. at the time of
engagement about:
(a) their right to ….. about the solicitor’s services and charges;
(b) how ……. may be made and to whom; and
(c) any right they have to make a ….. to the Legal Ombudsman (see 1.5) and when
they can make such complaint.

A

8.3

Writing

Complaint x3

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10
Q

If a complaint is not resolved in eight weeks, the solicitor must write to the client the next steps.

Paragraph …. of the Code of Conduct for solicitors state client must be informed in ……:

a) of any right they have to complain to the ….. ……, the timeframe for doing so
and full details of how to contact the …… ……; and

b) if a complaint has been brought and the complaints procedure has been exhausted:
(i) that the solicitor cannot settle the complaint;
(ii) the name and website address of an alternative dispute resolution (ADR) approved
body which would be competent to deal with the complaint; and
(iii) whether the solicitor agrees to use the scheme operated by that body.

A

8.4

Writing

Legal Ombudsman

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11
Q

Complaints from the general public are received through the … …..

A

Legal Ombudsman

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12
Q

The client does not
have to suffer any …. for the …… ……. to make a …… against the solicitor arising from a
complaint about the services provided. The mere fact that the solicitor has provided services
which are not of the quality reasonably to be expected of a solicitor is enough.

A

Loss

Legal Ombudsman

Determination

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13
Q

The Scheme Rules provide that only certain types of client can complain to the LeO, including
individuals, ‘micro- enterprises’ (broadly speaking, an enterprise with fewer than … staff and
a turnover or balance sheet value not exceeding €.. …..), charities, clubs and associations with an annual income net of tax of less than £…. ……., and personal representatives or
beneficiaries of a person’s estate.

The complaint must relate to an …./…….. by the
solicitor and must relate to the …… which the solicitor provided. The LeO also accepts complaints in relation to services which the solicitor offered, provided or refused to provide to the complainant.

A

10 staff

2 million

1 million

Act or omission

Service

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14
Q

Ordinarily, the complainant cannot use the LeO unless the solicitor’s own …..
……. has been used, but can do so if:
(a) the complaint has not been resolved to the complainant’s satisfaction within …. ….
of being made to the solicitor; or
(b) the LeO considers that there are exceptional reasons to consider the complaint sooner, or
without it having been made first to the solicitor; or
(c) the LeO considers that in- house resolution is not possible due to ….. …….
in the relationship between the solicitor and the complainant.

The complaint should be brought no later than:
• …. years from the act/ omission; or
• ….. years from when the complainant should reasonably have known there was cause
for complaint.

A

Complaint procedure

Eight weeks

Irretrievable breakdown

Six

Three

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15
Q

The LeO’s ……. may direct the solicitor (or their firm) to:
(a) apologise;
(b) pay …… (together with interest) for any loss suffered and/ or inconvenience/
distress caused;
(c) ensure (and pay for) the putting right of any error or omission;
(d) take (and pay for) any specified action in the interests of the complainant;
(e) pay a specified amount for the costs of the complainant in pursuing the complaint;
(f) limit the solicitor’s fees (including that all or part of any amount paid is refunded, with or
without interest, or that all or part of the fees are remitted).

A

Determination

Compensation

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16
Q

The LeO’s determination may contain …. or ….. of the listed directions.

The determination may contain one or more of the above directions. There is a limit of
£……on the total value that may be awarded in respect of compensation and the costs in
respect of (c) and (d) above.

The limit does not apply to (a), (e) or (f) above, or to interest on compensation for …. ……

A

One or more

£50,000

Loss suffered

17
Q

‘Professional misconduct’ primarily concerns breaches of the SRA’s …. and/ or the …. .. ……

A

Principles

Code of Conduct

18
Q

An example of professional misconduct:

if a solicitor gave an …… to post the client’s
witness statement to another solicitor on 1 May and then failed to do so, the solicitor would not have ….. with Paragraph …… and so would be said to breach the requirements of
professional conduct.

A

Undertaking

complied

1.3

19
Q

Although complaints from the general public are received through the LeO, complaints
primarily concerning a breach of ….. …….. will go on to be dealt with by the …….

A

Professional conduct

SRA

20
Q

In order to investigate complaints of ……, the SRA has the power, under s 44B Solicitors Act 1974, to serve a ….. on a solicitor requiring the delivery of a …. or documents in
the possession of the solicitor to the SRA.

Paragraph … imposes an obligation to respond
promptly to the SRA and provide information and documents in response to any such request.

A

Misconduct

notice

file

7.4

21
Q

For professional misconduct, the SRA
may impose …. (intended to discipline the individual) or ….. (intended to protect
the public).

A

Sanctions

Controls

22
Q

Examples of action which may be taken by the SRA include:

A

(a) Take no further action with or without issuing advice or a warning about future conduct.
(b) Impose a financial penalty or written rebuke - max is £2,000.
(c) Control how the solicitor practises
(d) Refer the matter to the Solicitors Disciplinary Tribunal

23
Q

The ….. ……. …….. (SDT) hears and determines applications relating to
allegations of ….. ….. and/ or breaches of the requirements of …..
…… by a number of legal service providers, including solicitors. Most applications to the SDT are made on behalf of the SRA. However, except where the Solicitors Act 1974 expressly
provides otherwise, any person may make an application directly to the SDT without first
making a complaint to the SRA.

A

Solicitors Disciplinary Tribunal

unbefitting conduct

professional conduct

24
Q

The members of the Disciplinary Tribunal are appointed by the …… ….
the ……

A

Master of the Rolls

25
Q

The decisions of the SDT are called ‘…….’ and ‘……’.

A

Judgements and Orders

26
Q

Section 47 Solicitors Act 1974 gives the SDT power to make such order as in its discretion it thinks fit, including the following:
(a) …… a solicitor off the roll (once struck off the SDT may also restore a solicitor to
the roll);
(b) ……. a solicitor from practice or imposing restrictions upon the way in which a
solicitor can practise;
(c) …… an unlimited fine payable to HM Treasury;
(d) reprimanding the solicitor;
(e) requiring the ….. by any party of costs or a contribution towards costs.

A

Striking

Suspending

Imposing

Payment

27
Q

A solicitor is an …… of the court. Accordingly, the court has jurisdiction to discipline the solicitor in respect of costs within any matter before the court.

The court may order the solicitor
to pay costs to their own client, or to a third party (Civil Procedure Rules, rr .. and ..).

A

Officer

44 and 45

28
Q

A solicitor owes a …. … ….. to the client in the law of tort. Where the solicitor breaches
this duty and the client suffers loss as a result, the solicitor may be sued by the client for
……

A

Duty of care

Negligence

29
Q

Give an example of where there is an overlap between negligence and complaints about professional services.

A

Missing a deadline in respect of issuing proceedings.

30
Q

overlap between negligence and complaints:

For example, a solicitor may miss a …… in respect
of issuing …….., which would then deprive the client of the opportunity to pursue the….. in court. The service provided would clearly be below what is reasonable to expect from a solicitor.

However, it would also constitute ….., as the solicitor has breached
the …. … …. to the client and as a result the client has suffered a …… ….. (ie the
client will not be able to pursue the matter in court and recover damages).

A

deadline

proceedings

matter

negligence

duty of care

Foreseeable loss.

31
Q

A solicitor must be ‘…… and …..’ with clients if things go wrong, and if a client suffers loss or harm as a result, matters are to be put right (if possible) and a full and prompt explanation
given as to what has happened and the likely impact.

If requested to do so by the SRA, a solicitor must …… whether anyone may have a claim against them, provide the SRA with a report on the outcome of the investigation and notify relevant persons that they may
have such a claim accordingly (Paragraph . . …..).

A

Honest and open

Investigate

7.11

32
Q

In circumstances where the client notifies the solicitor of their intention to make a claim, or where the solicitor discovers an act or omission which might give rise to a claim, consideration must be given as to whether a …… .. …… has arisen and/ or whether
the client should be advised to obtain …… ……. It will be very rare that a conflict
of interest does not arise in such a situation.

A

Conflict of interest

Independent advice

33
Q

The SRA ….. ……. is maintained by the SRA under ss 36 and 36A Solicitors
Act 1974.

A

Compensation Fund

34
Q

Applications to the Compensation Fund may be made where an individual/ organisation has suffered loss due to a ……. practitioner’s dishonesty, or where the individual/ organisation is suffering
loss and hardship due to a defaulting practitioner’s failure to account for monies they have
received.

A

Defaulting

35
Q

The Code of Conduct for Solicitors imposes an ……. on solicitors to ensure that clients
understand the regulatory protections available to them, and this will include eligibility to claim under the Fund (Paragraph 8.11).

A

Obligation

36
Q
  1. Solicitors must meet … ethical …….
  2. The SRA is ….. by the Solicitors Act …… to publish rules and requirements for the
    regulation of conduct of, amongst others, solicitors.
  3. These rules and requirements are enforced by the …… and the ….. …….
  4. The SRA deals with breaches of the requirements of ….. ……., whereas the
    Legal Ombudsman primarily deals with …… about ….. provided by legal
    practitioners, including solicitors.
  5. The Legal Ombudsman deals with complaints relating to an act/ omission by a legal
    practitioner and which relates to services provided by the solicitor. The client does not need to suffer any …. as a result of the service provided in order to raise the issue.
  6. The SRA may impose ….. …… for a breach of the requirements of
    professional conduct, or in serious cases may refer the matter to the ….. …..
    ……..
  7. The Legal Ombudsman has numerous …… at its disposal. These include directing
    the solicitor to limit their fees, or directing the solicitor to compensate the client up to
    £50,000.

The SRA/ Legal Ombudsman has no power to pay compensation to the client …..

  1. The Solicitors Disciplinary Tribunal may …. a solicitor, ….. the solicitor or, as an
    ultimate sanction, ….. the solicitor off the roll.
  2. A solicitor will be negligent if they breach the duty of care to the client and foreseeable
    loss results as a consequence of that breach. Where the solicitor has been negligent, they
    may be ….. by the client for damages.
  3. The SRA Compensation Fund is maintained by the SRA. ……. may be made from the Fund when a client has suffered loss as a result of a defaulting practitioner’s act or omission or to cover claims against uninsured firms.
A
  1. High
    Standards
  2. Empowered
    1974
  3. SRA and Legal Ombudsman
  4. Professional conduct
    complaints .. services
  5. loss
  6. disciplinary sanction
    Solicitors Disciplinary Tribunal
  7. sanctions

itself

  1. Fine, suspend or strike
  2. Sued
  3. Payment
37
Q

Paragraph 8.5 states that a solicitor must ensure that complaints are dealt with ….., ….., and free of charge.

A

Promptly

fairly

Unit 1 Ethics (14 decks)

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