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PCR > 2.1 Code of Conduct: Chapters > Flashcards

2.1 Code of Conduct: Chapters Flashcards

1
Q

Who is the Code of Conduct for - only private, or in-house too?

A

Both

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2
Q

What parts of CoC are mandatory?

A

Outcomes and Principles

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3
Q

Who is CoC binding on?

A

Non-lawyers (e.g. manager of ABS) and lawyers

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4
Q

What parts of CoC are not mandatory

A

IB

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5
Q

What Principle takes precedence if conflict

A

One that best serves public interest

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6
Q

What does ‘you’ include

A

Both firm and individual S

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7
Q

Three things to do if new client/instructions

A

Conflicts check, CCL and CDD (if MLR applies)

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8
Q

What Principle is most important for Chapter 1: Client Care

A

P(5) (proper standard of service)

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9
Q

3 things to consider before accepting new instructions

A

CDD may be needed, cannot breach law/CoC, and must know who client is

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10
Q

What should S do if instructions from 3rd on behalf of company

A

BM to check authorised

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11
Q

Is CCL mandatory?

A

No, but helps achieve Outcomes

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12
Q

What helps to achieve O(1.3)

A

Include paragraph in CCL informing client of potential need to cease acting if e.g. CoI

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13
Q

What must client be told in CCL

A

Regulation, sufficient info to make informed decisions, continuous estimate of costs, day-to-day supervisor, and responsibilities

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14
Q

What to do re: CCL if client established

A

Annual CCL + confirm instructions if new matter

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15
Q

What should S explain to client for costs

A

Hourly rates, disbursements, potentially may have to pay other side’s costs, plus VAT etc.

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16
Q

What should S consider re: costs to help client make informed decision

A

If outcome justifies cost, how fees will be calculated, and VAT + disbursements on top of fees

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17
Q

What must clients be told about regulation

A

Firms authorised and regulated by SRA

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18
Q

How must complaints procedure be set out and told to client

A

In writing and given at outset

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19
Q

Must inform client’s right to complain to who

A

Legal Ombudsman

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20
Q

What Principle is most relevant when terminating retainer

A

P(6) maintaining public trust

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21
Q

What is the general rule on ceasing acting for client

A

Only when matter complete

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22
Q

What does S need to cease acting for client

A

Good reason

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23
Q

Example of good reason to cease acting for client

A

Failing to pay bills or breach of CoC

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24
Q

Principle most relevant to Chapter 2, equality and diversity

A

P(9), encourage equality of opportunity and respect for diversity

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25
Q

Who has the main responsibility for complying w/ Chapter 2

A

Managers and partners

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26
Q

Can the firm priorities obligations (e.g. beliefs) to employees over Os to clients?

A

No

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27
Q

What is the basic rule under Chapter 2?

A

Do not discriminate unlawfully, and respect diversity

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28
Q

What must firms do under Chapter 2 for e.g. disabled clients

A

Make free reasonable adjustments

29
Q

Is ‘discrimination’ defined in the CoC?

A

No

30
Q

What reasonable adjustments might a firm be required to make to avoid discriminating?

A

E.g. finding a translator, but not taking on word re: religion they have insufficient knowledge of

31
Q

What can a firm have to help comply with Chapter 2

A

Written diversity policy, training employees, and monitoring if policy needs updating

32
Q

Is it mandatory to have a written diversity policy?

A

No

33
Q

Three Principles that especially apply to Chapter 3

A

P(3) independence, P(4) BI, P(5) proper standard

34
Q

When can S not act per O(3.4) & (3.5)

A

If own or client conflict

35
Q

When can S act despite O(3.5) prima facie applying

A

If exceptions apply

36
Q

Glossary definition of client conflict

A

Separate duties to act in BI of 2+ clients in same/related matter and duties conflict (or significant risk)

37
Q

What is the ‘same/related matter’ for client conflict?

A

Same asset/matter, or reasonable relationship between the same

38
Q

How to work out if exceptions apply to O(3.5)

A

Glossary –> specific IBs –> general IBs

39
Q

Two general IBs disapplying exception to O(3.5)

A

Direct conflict or negotiating on substance

40
Q

What is the definition of O(3.6) SCI

A

Clear common purpose and strong consensus, so conflict becomes peripheral

41
Q

Specific IBs applying to O(3.6)

A

3.5, 3.12 and 3.11

42
Q

What happens if O(3.6) does apply?

A

Need informed + written consent, reasonable to act, and benefits outweigh risks

43
Q

When is O(3.6) likely to be in BI of clients

A

If similar work to be carried out for both

44
Q

What is the definition of O(3.7) C4SO

A

If attained, becomes unattainable for other

45
Q

How must the object be attained for O(3.7) to apply?

A

Liquidation, private auction or tender

46
Q

When does O(3.7) NOT apply (for what kinds of clients)

A

C &D, seller & buyer

47
Q

What three IBs apply specifically to O(3.7)

A

3.5, 3.6 and 3.13

48
Q

What happens if O(3.7) applies?

A

Need informed and written consent, ensure employees only work for one client, reasonable to act and benefits outweigh risks

49
Q

General rule on Chapter 4

A

Keep client info confidential and disclose all material info

50
Q

How long does duty of confidentiality last

A

Forever, unless waived/in public domain/under statute

51
Q

Which one takes precedence out of O(4.1) and O(4.2)

A

O(4.1) confidentiality

52
Q

What should S do if unsure if O(4.1) duty of confidentiality overridden?

A

Liaise with COLP

53
Q

When can S agree to act for A if confidential info on B which is material to A?

A

Safeguards in place

54
Q

What happens if outsourcing e.g. photocopying to 3rd under Ch.4?

A

3rd must also safeguard

55
Q

Exception to duties of confidentiality and disclosure

A

O(4.4) have safeguards

56
Q

When does O(4.4) NOT apply (IB)

A

Lesser/no duty of disclosure, risk of serious injury, or prohibited by law

57
Q

Two limbs to O(4.4)

A

Info must be both material AND adverse interest

58
Q

When is info ‘material’ for O(4.4)

A

Material relating to particular matter - not info of general interest

59
Q

What is an ‘adverse interest’ for O(4.4)

A

E.g. one party likely to become opposing party in dispute

60
Q

What happens if only one limb applies under O(4.4)

A

May be able to act with safeguards if can maintain public trust (P(6))

61
Q

When is O(4.4) likely to be used

A

If one client is a former client - UNLIKELy if both clients are current clients

62
Q

Per Ch.5, what is S?

A

Officer of the court

63
Q

What is S’s duty to the court?

A

Overriding

64
Q

What must S inform client of re: duty to the court?

A

Of situations when duty to the court overrides O to client

65
Q

Who do duties under Ch.5 apply to?

A

FIRM, so even if one lawyer not in attendance at court, still applies

66
Q

What does deceiving under O(5.1) require

A

Knowledge

67
Q

Does misleading the court require knowledge?

A

No - inadvertent

68
Q

Which is more likely to = misconduct - deceiving or misleading the court?

A

Deceiving

69
Q

What must S do if aware of misleading the court?

A

Inform court ASAP w/ client’s consent, or cease acting for client if client refuses

PCR (6 decks)

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