Brainscape's Knowledge GenomeTM

Browse over 1 million classes created by top students, professors, publishers, and experts.


See full index

QuiLTS > A3 Professional Conduct > Flashcards

A3 Professional Conduct Flashcards

1
Q

SRA Principle 1: Act in a way that upholds… and

A

Upholds the constitutional principle of the rule of law, and the proper administration of justice

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
2
Q

SRA Principle 2: Act in a way that upholds…

A

Upholds public trust and confidence in the solicitors’ profession and in legal services provided by authorised persons

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
3
Q

SRA Principles 3 to 5: Act with…

A

Independence, Honesty, Integrity

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
4
Q

SRA Principle 6: Act in a way that encourages

A

Equality, diversity and inclusion

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
5
Q

SRA Principle 7: Act in the … of each client

A

Best interests

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
6
Q

Maintaining Trust and Acting Fairly, Code/Firms’ Code, 1.1: Do not unfairly discriminate by…

A

Allowing personal views to affect professional relationships and the way in which you provide your services

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
7
Q

Maintaining Trust and Acting Fairly, Code/Firms’ Code, 1.2: Do not abuse your position by

A

Taking unfair advantage of clients or others

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
8
Q

Maintaining Trust and Acting Fairly, Code/Firms’ Code, 1.3: Perform all undertakings…

A

Within agreed timescale or within reasonable amount of time

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
9
Q

Maintaining Trust and Acting Fairly, Code/Firms’ Code, 1.4: Do not…

A

Mislead client, courts or others either on your own or by being complicit

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
10
Q

Dispute Resolution, Code, 2.1 - 2.3 (Evidence)

A
  • 2.1 Do not misuse or tamper with evidence
  • 2.2 Do not influence substance of evidence (e.g. false evidence)
  • 2.3 Do not provide benefits to witnesses
How well did you know this?
1
Not at all
2
3
4
5
Perfectly
11
Q

Dispute Resolution, Code, 2.4 (Assertions)

A
  • Only make assertions/statements/ representations/submissions
  • To court or others
  • Which are properly arguable
How well did you know this?
1
Not at all
2
3
4
5
Perfectly
12
Q

Dispute Resolutions, Code, 2.5 (Court orders)

A
  • Do not place yourself in contempt of court

- Comply with court orders

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
13
Q

Dispute Resolution, Code, 2.6 (Court’s time)

A

Do not waste the court’s time

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
14
Q

Dispute Resolution, Code, 2.7 (Court’s attention)

A
  • Draw court’s attention to relevant cases/statutes/procedural irregularities
  • Which are likely to have material effect on outcome
How well did you know this?
1
Not at all
2
3
4
5
Perfectly
15
Q

Service and Competence, Code, 3.1 (Instructions)

A
  • Only act on instructions from client or authorised person
  • If acting with legal authority without instructions, you are to protect client’s best interests
How well did you know this?
1
Not at all
2
3
4
5
Perfectly
16
Q

Service and Competence, Code, 3.2 (Service)

A

Ensure that service to clients is competent and timely

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
17
Q

Service and Competence, Code, 3.3 (Competence)

A

Maintain competence, keep professional knowledge and skills up to date

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
18
Q

Service and Competence, Code, 3.4 (Client’s needs)

A

Consider client’s attributes, needs, circumstances

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
19
Q

Service and Competence, Code, 3.5 (Supervision)

A
  • Remain accountable for work by those you supervise/manage

- Effectively supervise work done for clients

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
20
Q

Service and Competence, Code, 3.6 (Managing individuals)

A

Ensure individuals you manage are competent to carry out role and keep their professional knowledge, skills, and knowledge of ethical obligations updated

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
21
Q

Client Money and Assets, Code, 4.1 (Properly account to clients…)

A

For any financial benefit you receive as a result of their instructions
Unless agreed otherwise

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
22
Q

Client Money and Assets, Code, 4.2 (Safeguard…)

A

Money and assets entrusted to you by clients and others

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
23
Q

Client Money and Assets, Code, 4.3 (Do not hold client’s money unless…)

A

Do not personally hold client money save as authorised by regulations
Or unless you work in an authorised body

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
24
Q

Referrals, Code, 5.1 (Financial interest in referral, fee sharing arrangements, when you cannot refer clients)

A
  • Clients should be informed of financial or other interest in referral
  • Clients should be informed of fee sharing arrangement
  • Fee sharing arrangement in writing
  • No referrals in respect of clients in criminal proceedings
How well did you know this?
1
Not at all
2
3
4
5
Perfectly
25
Q

Referrals, Code, 5.2 (Presumption of referral fee)

A

Where it appears to SRA that you have made a referral fee, it will be treated as such unless you show otherwise

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
26
Q

Referrals, Code, 5.3 (When you can refer client to separate business)

A

Only refer client to separate business, or divide work with separate business, with client’s consent

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
27
Q

Other business reqs, Code, 5.4 (Rule on use of “solicitors” in business)

A

Don’t be manager, employee, member of a business saying “solicitors” unless it is an authorised body

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
28
Q

Other business reqs, Code, 5.5 (On annual returns)

A

Solicitors with practising cert must deliver annual return in prescribed form

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
29
Q

Other business reqs, Code, 5.6 (Indemnity insurance)

A

Need for indemnity insurance for reserved legal activities
- Exercise of right of audience, conduct of litigation, reserved instrument activities (property), probate, notarial, oaths

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
30
Q

Conflicts: Define “own interest conflict”

A

Conflict with personal interest or interest in related matter (or significant risk of such conflict)

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
31
Q

Conflicts: Define “conflict of interest”

A

Conflict between separate duties to act in the best interests of two or more clients

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
32
Q

Conflicts, Code, Firms’ Code,6.1 (Own interest conflict)

A

Cannot act if there is own interest conflict or significant risk of it

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
33
Q

Conflicts, Code. Firms’ Code, 6.2 (Not to act where conflict of interest unless…) (4)

A
  • Clients have substantially common interest/competing for same objective
  • Clients have given informed consent in writing
  • Effective safeguards to protect confidential information
  • You are satisfied it is reasonable to act for all the clients
How well did you know this?
1
Not at all
2
3
4
5
Perfectly
34
Q

Conflicts: Define “substantially common interest”

A
  • Clear common purpose between clients

- Strong consensus on how it is to be achieved

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
35
Q

Conflicts: Define “objective” in “competing for the same objective”

A

Asset, contract, or business opportunity which 2 or more clients are seeking to acquire / recover in insolvency / auction or tender process

36
Q

Confidentiality and Disclosure, Code, Firms’ Code, 6.3 (2 exceptions to confidentiality)

A
  • Keep affairs of current and former clients confidential

- Unless law requires or client consents

37
Q

Confidentiality and Disclosure, Code, Firms’ Code 6.4 (4 situations where you don’t need to inform client of all information in matter)

A
  • Disclosure prohibited by legal restrictions in interest of national security or crime prevention
  • Client gives written informed consent
  • Reason to believe serious physical or mental injury in event of disclosure
  • Information was in a privileged document disclosed by mistake
38
Q

Confidentiality and Disclosure, Code, Firms’ Code 6.5 (2 conditions before you can act for client with adverse interest)

A

For clients with adverse interest to current / former client / you / business /employer, only if:

  • Effective measures in place - no real risk of disclosing confidential info
  • Current or former client’s written informed consent
39
Q

Cooperation and Accountability, Code, 7.1 - 7.5

A
  • 7.1 Keep up to date with law and regulation
  • 7.2 Able to justify decisions and actions to demonstrate compliance with SRA regulatory reqs
  • 7.3 Cooperate with SRA in investigations
  • 7.4 Respond promptly to SRA
  • 7.5 Do not attempt to prevent anyone providing info to SRA
40
Q

Cooperation and Accountability, Code, 7.6 (Inform SRA of 3 things)

A
  • Subject to criminal charge, conviction, caution
  • Relevant insolvency event occurs to you
  • Become aware of material change to info OR that info you provided may be false, misleading, incomplete, inaccurate
41
Q

Cooperation and Acountability, Code, 7.7 - 7.10

  • Promptly report..
  • Inform SRA of..
  • Do not subject..
  • Act promptly if..
A
  • 7.7 Promptly report to SRA any potential breach by others
  • 7.8 Inform SRA of any facts or matters that should be brought to its attention in order that it may investigate
  • 7.9 Do not subject any person to detrimental treatment for proposing to make report or give info to SRA
  • 7.10 Act promptly if SRA requests remedial action, investigate breaches if requested by SRA
42
Q

Cooperation and Accountability, Code, 7.11 (Firms, 3.5) (4 things to do when things go wrong)

  • Be…
  • Put …
  • Explain…
  • Investigate…
A
  • Be honest and open with clients if things go wrong
  • If client suffers loss or harm, put matters right if possible
  • Explain fully and promptly what has happened and likely impact
  • If SRA asks, investigate if anyone has claim against you
43
Q

Client Identification, Code, 8.1

A

Identify who are acting for in relation to any matter

44
Q

Complaints Handling, Code, 8.2 (Complaints procedure)

A

Ensure that you have a procedure for handling complaints in relation to legal services

45
Q

Complaints Handling, Code 8.3 (Right to complain)

A 
Inform clients in writing
At time of engagement, about 
- Right to complain
- How and to whom
- Right to complain to Legal Ombudsman
46
Q

Complaints Handling, Code 8.4 (What you must do if complaint not resolved within 8 weeks)

  • What to inform clients of
  • What to inform clients of if complaints procedure exhausted (3)
A

Inform clients in writing of:
- Right to complain to Legal Ombudsman and how
If your complaints procedure exhausted:
- That you cannot settle complaint
- Name and website of ADR approved body
- Whether you agree to use that ADR scheme

47
Q

Complaints Handling, Code, 8.5 (Ensure that complaints are dealt with … ) (3)

A

Promptly, fairly, free of charge

48
Q

Client Information, Code, 8.6:
Give clients information in a way that…
Ensure they can make informed decisions about …(3)

A

…they can understand

The services they need, how their matter will be handled, and options available to them

49
Q

Client Information, Code, 8.7: Give clients best possible information about … (3 things relating to costs)

A

How their matter will be priced
Likely overall cost of matter
Any costs incurred

50
Q

Publicity, Code, 8.8: Publicity about your practice must be .. and not..

A

Accurate, not misleading

51
Q

Publicity, Code, 8.9: Do not make unsolicited approaches to advertise unless to…

A

Your current or former clients

52
Q

Client information, Code, 8.10 - 8.11 (Client’s knowledge of regulations)

A
  • 8.10: Ensure clients know how your services are regulated

- 8.11: Ensure clients know regulatory protections available to them

53
Q

Maintaining Trust and Acting Fairly, Firms’ Code, 1.5: Monitor, report and publish

A

Workplace diversity data, as prescribed by SRA

54
Q

Compliance and Business Systems. Firms’ Code, 2.1: You must have….

A

Effective governance structures, arrangements, etc. to ensure compliance with SRA’s regulatory arrangements

55
Q

Compliance and Business Systems, Firms’ Code, 2.2 - 2.5 (records, accountability, finances, identifying risks)

A
  1. 2 Maintain records to show compliance
  2. 3 Remain accountable for compliance
  3. 4 Actively monitor financial stability and business viability and effect orderly winding-down if needed
  4. 5 Identify and monitor all material risks to business, including those from connected practices
56
Q

Firms’ Code, 8.1 (Managers in SRA authorised firms)

If management is shared, responsibility is …

A

If you are a manager, you are responsible for compliance of firm.
Responsibility is joint and several

57
Q

Definition of “manager” in Firms’ Code

A

Sole principal, LLP member, director of company, partner, member of governing body

58
Q

Firms’ Code, 9.1 - 9.2

A
  1. 1 - compliance officers for legal practice

9. 2 - compliance officers for finance and administration

59
Q

Accounts: 2.1 (Definition of client money)(4)

A

Money received or held by solicitors

  • Relating to regulated services
  • On behalf of a 3P in relation to regulated services
  • As trustee or holder of specified office / appointment
  • in respect of fees / disbursements if received before bill is delivered
60
Q

Accounts 2.2 Client money for fees / disbursements need not be paid into client account if.. (4)

A
  • Only client money you hold is fees/disbursements
  • You do not hold a client account for any other reason
  • Money held for disbursements is for expenses that you are liable for (e.g. counsel or expert fees)
  • You have informed client in advance where and how money will be held (that it will not be ring fenced)
61
Q

Accounts, 2.3: Client money must be paid into client money unless (3)

A
  • (For 2.1(c)) Conflict with obligations under specified office/appointment
  • Client money is payment of costs by Legal Aid
  • Alternative arrangement agreed with client in writing or 3P
62
Q

Accounts, 2.4 (Availability of client money)

A

Ensure that client money is available on demand unless there is alternative arrangement in writing with client or 3P

63
Q

Accounts, 2.5 (Returning client money)

A

Ensure that client money is returned promptly as soon as there is no longer any proper reason to hold those funds

64
Q

Accounts, 3.1 (Where your client account must be)

A

With a branch or head office of bank or building society in England and Wales

65
Q

Accounts, 3.2 (What must name of client account include) (2)

A
  • Name of authorised body

- The word “client” to distinguish it from other accounts

66
Q

Accounts, 3.3 (What you cannot use client account for)

A

Providing banking facilities to clients or 3Ps

67
Q

Accounts, 4.1 (Separation)

A

Keep client money separate from money belonging to authorised body

68
Q

Accounts, 4.2 (Allocation)

A

Ensure that you promptly allocate any funds from mixed payments to client account or business account

69
Q

Accounts, 4.3 (What to do if client money is used to pay your costs) (3)

A
  • Give bill of costs or written notification to client
  • Do this before transferring money from client account
  • Payment must be for specific sum in bill
70
Q

Accounts, 5.1: You can only withdraw money from client account … (3)

A
  • For purpose for which it is being held
  • Following receipt of instructions from client or 3P for whom it is held
  • SRA’s prior written authorisation
  • (Or to pay your costs: see 4.3)
71
Q

Accounts 5.2 (Supervision of withdrawals)

A

Appropriately authorise and supervise all withdrawals made from a client account

72
Q

Accounts, 5.3 (Sufficiency of funds)

A

Only withdraw client money from client account if sufficient funds are held on behalf of that specific client or 3P to make payment

73
Q

Accounts, 6.1 (When to correct breaches; what to do if money improperly held or withdrawn)

A
  • Duty to correct breaches promptly

- Money improperly held or withdrawn must be immediately paid back into account or replaced

74
Q

Accounts, 7.1 (Interest on client money; exception)

A
  • Account to clients for fair sum of interest on any client money
  • You may come to alternative arrangement if you provide sufficient info for them to give informed consent
75
Q

Accounts, 8.1: Keep and maintain accurate, contemporaneous, chronological records to…. (3)

A
  • Double entry - client account on one side and business side accounts on the other
  • Maintain list of balances of liabilities to clients
  • Provide cash book showing running total of all transactions through client accounts
76
Q

Accounts, 8.2 (How often must you obtain bank statements for client accounts)

A

At least every 5 weeks

77
Q

Accounts, 8.3 (How often must you complete reconciliation of statement balance with cash book balance and client ledger total; who must sign off)

A

At least every 5 weeks
Signed off by COFA or Manager
Promptly investigate and resolve differences shown by reconciliation

78
Q

Accounts, 8.4 (Record of your bills/costs)

A

Keep readily accessible a central record of bills or notification of costs given by you

79
Q

Accounts, 9 (If holding money jointly with 3P, which 2 rules from the Accounts Rules apply?)

A
  • Rule 8.2 - need to obtain bank statements every 5 weeks

- Rule 8.4 - Need to keep a record of bills and costs

80
Q

Accounts, 10 (If operating a client’s own account as signatory, which 3 rules from Accounts Rules apply?)

A
  • 8.2 - need to obtain bank statements every 5 weeks
  • 8.3 - Need to complete reconciliation every 5 weeks
  • 8.4 - Keep a record of your bills and costs
81
Q

Accounts, 11.1: Third Party Managed Accounts - conditions for use (3)

A
  • Use of account does not result in you receiving or holding client’s money
  • Inform client of contractual arrangements for TPMA and in particular the fees for TPMA
  • Inform client of right to terminate agreement and dispute payment requests made by you
82
Q

Accounts, 11.2: (How often to obtain statements from TPMA)

A

Obtain “regular” statements.

83
Q

Accounts, 12.1: When must you obtain accountant’s report, when must you deliver it to SRA

A
  • Obtain the report within 6 months of end of accounting period
  • Deliver it to SRA within 6 months of end of accounting period if it shows a failure to comply with rules
84
Q

Accounts 12.2: When you are not required to obtain accountants’ report (2)

A
  • All client’s money received is from Legal Aid

- Statement or passbook balance does not exceed average of GBP 10,000 and maximum of GBP 250,000

85
Q

Accounts, 13: How long accounting records must be retained

A

For at least 6 years

QuiLTS (4 decks)

Brainscape helps you reach your goals faster, through stronger study habits.
© 2024 Bold Learning Solutions. Terms and Conditions