Code of Conduct

Question 1

Maintaining trust and acting fairly

Answer 1

• Do not unfairly discriminate by allowing personal views to affect your professional relationships and the way in which you provide services
• Do not abuse your position by taking unfair advantage of clients/others
• Perform everything within an agreed time scale
• Do not mislead clients

Question 2

Dispute resolution and proceedings before courts tribunals and inquiries

Answer 2

• Do not misuse or tamper with evidence
• Do not seek to influence substance of evidence
• Do not provide any benefit to witnesses
• Only put forward statements, representations or submissions to the court which are properly arguable

Question 3

Service and Competence - Who to act for?

Answer 3

Must only act for clients on instructions from the client or from someone properly authorised to provide instructions on their benefit.

Question 4

Service and Competence - Instructions

Answer 4

Must explain consequences of instructions.

Question 5

Service and Competence - Reasonable care and skill

Answer 5

If you lack time, resources or expertise to deal with the client’s matter then it would not be in the client’s best interests for solicitor to accept. Must keep professional knowledge and skills up to date.

Question 6

Client money and assets - Financial benefit

Answer 6

Must properly account to clients for any financial benefit you receive as a result of their instructions, except where they have agreed otherwise

Question 7

Client money and assets - Safeguarding money

Answer 7

Must safeguard money and assets entrusted to you by clients and others

Question 8

Client money and assets - Information

Answer 8

Client must be given the best possible information as to the overall costs of the matter. Should clearly explain how costs are calculated and if and when they are likely to change. Must be provided in the client care letter.

Question 9

Client money and assets - Challenging a bill

Answer 9

The client may be able to challenge bill at a later date.

Question 10

Client money and assets - Challenging a bill - Requirements

Answer 10

Must apply to have the bill assessed within 1 month. Where no application is made within this month the client may still apply within 12 months but will require a leave of the court.

Question 11

Client money and assets - Formalities needed for solicitor’s bill

Answer 11

• Must contain enough info. for client to be satisfied that it is reasonable
• Must be signed
• Must be delivered by hand to the client, by post/email

Question 12

Referrals, introductions and separate businesses - Referrals

Answer 12

Must ensure:
- Clients are informed of any financial/other interest which you have in referring the client to another person - Clients are informed of any fee sharing arrangement that is relevant to the matter
- Do not receive payments relating to a referral

Question 13

Conflict of interests - General rule

Answer 13

A solicitor can never act where there is a conflict between the solicitor’s own interests and the interests of a current client. Limited circumstances in which a solicitor can act where there is a conflict between 2 or more current clients

Question 14

Conflict of interests - Exception

Answer 14

1) The clients have a substantially common interest in relation to the matter of the aspect of it as appropriate
2) The clients are competing for the same objective and these conditions are met:
- All the clients have given informed consent
- Satisfied it is reasonable for you to act

Question 15

Conflict of interests - Exception - Common interest definition

Answer 15

A situation where there is a clear common purpose between the clients and a strong consensus as to how it is to be achieved

Question 16

Confidentiality - Current and former clients

Answer 16

Keep the affairs of current and former clients confidential unless disclosure is required or permitted by law or the client consents.

Question 17

Confidentiality - Acting for a client where that client has an interest adverse to the interest of another current/ former client

Answer 17

You do not act for a client where that client has an interest adverse to the interest of another current/former client unless:
- Effective measures have been taken which result in there being no real risk of disclosure of confidential info.
- The current/former client has given informed consent given or evidence in writing

Question 18

Complaints handling - Time of engagement

Answer 18

Ensure that clients are informed at writing at the time of engagement about:
- Their right to complain to you about your service and charges
- How a complaint can be made and to who
- Any right they have to make a complain to the legal ombudsman and when they can make such a complaint

Question 19

Complaints handling - When a client’s complaint has not be resolved

Answer 19

Ensure that when a client has made a complaint to you if this has not been resolved to the client’s satisfaction within 8 weeks following the complaint they are informed in writing of any rights they have to complain to the legal ombudsman the time frame for doing so

Question 20

Complaints handling - When a complaint can be made to legal ombudsman

Answer 20

Cannot used legal ombudsman unless solicitor’s own complaints procedure has been used. Complaint should be brought no later than - 6 years from act/omission and 3 years from when they knew of reason to complain

Question 21

Exceptions to not giving the client all the information to your knowledge

Answer 21

Where you’re acting for a client on a matter you make the client aware of all the information material to the matter of which you have knowledge - exception where your client gives informed consent, given or evidenced in writing to the information not being disclosed to them.

Question 22

What to do if your colleague doesn’t follow the code?

Answer 22

If a fellow colleague doesn’t follow the code then you need to report the matter to the firm’s compliance officer is best way to go. Could report matter directly to the SRA however solicitor will discharge their duty if they report the matter to the compliance officers

Question 23

Complaints procedure in writing

Answer 23

MUST provide information about complaints procedure in writing

Question 24

Do you have to give over the files if the client hasn’t paid?

Answer 24

Solicitor’s have a lien over the file until their proper fees are paid - means that they can retain the file until the fees are paid for in full

Question 25

Referrals to 3rd parties are they permitted?

Answer 25

Referrals to third parties are permitted providing that the referral is in the best interests of the client and that the client is informed of any financial benefits the firm receives as a result of the referral

Question 26

Unsolicited approaches to the public

Answer 26

A solicitor is prohibited from making an unsolicited approach to members of the public. However a former client is an exception

Question 27

Duty to disclose evidence

Answer 27

There is no duty to inform the court of evidence which prejudices the solicitor’s client. Also no duty to inform the prosecution of a potential witness’ evidence.

Question 28

If a witnesses evidence works against defendant’s case

Answer 28

The solicitor is not obliged to call the witness but the solicitor must be careful to adhere to the solicitor’s duty not to mislead the court

Question 29

Failure to perform an undertaking

Answer 29

A failure to perform an undertaking may result in disciplinary proceedings being taken against the solicitor, only the court has the power to enforce an undertaking

Question 30

Who is an undertaking binding on?

Answer 30

If an undertaking is made by a solicitor it is binding on both the solicitor and the firm

Question 31

Undertaking definition

Answer 31

A statement which induces reliance

Question 32

Duty to draw court’s attention to cases

Answer 32

Solicitors are under a duty to draw the court’s attention to cases which are likely to have a material effect on the case

Question 33

Cold calling

Answer 33

An unsolicited approach to the public

Question 34

Undertaking outside the solicitor’s control

Answer 34

If the performance of the undertaking is outside the solicitor’s control then the solicitor will be liable for non-performance

Question 35

Conflict of interest - mortgages

Answer 35

The same solicitor can advise both the borrower and the lender where the mortgage is on standard terms and is not negotiated

Question 36

Gifts to solicitors in wills

Answer 36

Where a solicitor is asked to draft a will for a client which includes a gift to the solicitor which is of significant value in relation to the size of the client’s overall estate or is of significant value in itself the solicitor will usually need to cease acting if the client does not agree to taking independent legal advice

Question 37

Where does the duty of confidentiality go on death?

Answer 37

Passes to the PRs

Question 38

Obtaining knowledge after the trial

Answer 38

If you obtain knowledge after the trial it does not amount to complicity in misleading the court

Question 39

Ceasing to act for the client

Answer 39

You cannot mislead the court and you also cannot disclose confidential information without the client’s consent the solicitor must cease to act

Question 40

What happens if two suspects request the same solicitor?

Answer 40

If two suspects want the same solicitor to represent them the solicitor should speak to the 1st suspect who requested legal advice and if the suspect’s account suggests a clear conflict of interest the solicitor should decline to act for the second suspect

Question 41

Admitting guilt

Answer 41

Even if a client admits guilt to their solicitor it would still be appropriate for the solicitor to put the prosecution to proof of its case if the solicitor considered that the prosecution case was weak. However they cannot mislead the court. Solicitor therefore cannot say anything in their client’s defence which they know to be untrue. Despite the client admitting guilt the solicitor can defend the case to the extent stated above.