E&PC

Question 1

True or false:
The SRA may strike a solicitor off the roll of solicitors for serious misconduct.
* True
* False

Answer 1

False

A solicitor may be stricken from the roll of solicitors for serious misconduct, but the SRA does not have the power to do this. If serious misconduct is alleged, the SRA will refer the matter to the Solicitors Disciplinary Tribunal, which is independent of the SRA.

Question 2

SRA STANDARDS AND REGULATIONS 2019

Answer 2

SRA STANDARDS AND REGULATIONS 2019
* Seven Mandatory Principles
* SRA Codes of Conduct for
Solicitors and Firms

Question 3

What are Solicitor’s Principles?

Answer 3

PRINCIPLE 1
Act in a way that upholds rule of law and proper administration of justice

PRINCIPLE 2
Act in a way that upholds public trust and confidence in the solicitors’ profession and the legal services it provides

PRINCIPLE 3
Act with independence

PRINCIPLE 4
Act with honesty

PRINCIPLE 5
Act with integrity

PRINCIPLE 6
Act in a way that encourages equality, diversity, and inclusion

PRINCIPLE 7
Act in best interests of each client

Question 4

Match each example in the table with the mandatory principle it most clearly breaches. Fill in the appropriate letter.
A Act in the best interests of each client
B Behave in a way that upholds public trust
C Act with honesty
D Act with integrity

1. A solicitor lies on their CV
2. A solicitor takes advantage of an unrepresented party’s lack of legal knowledge
3. A solicitor neglects a minor case so they can focus on more lucrative cases
4. A solicitor is convicted of murder

Answer 4

1C 2D 3A 4B

Answer 5

WHEN PRINCIPLES
CONFLICT
Principle which safeguards wider public interest takes precedence

Question 6

A 10-year qualified solicitor is acting for a client, who is a friend, defending a civil litigation action. This is not the solicitor’s normal type of work – he is a domestic conveyancer, but told the friend he would “give it a go”. Some months passed and the solicitor did nothing about the case, despite letters from the solicitor acting for the claimant. The result is that judgement has now been entered against the client. The client rings up, and the solicitor tells him “it’s all OK”. In a panic, the solicitor then backdates a document which should have been filed with the court, says it’s a copy, and claims that the original must have been lost in the post.
Which one or more of the seven mandatory principles may the solicitor have breached?
Type your response below and when you have finished, press submit to return to the video and hear the answers.

Answer 6

Integrity: The solicitor’s backdating of a document and claiming that the original must have been lost in the post suggests a lack of integrity. Integrity requires solicitors to act honestly and straightforwardly in all professional and business dealings.
Honesty: The solicitor’s actions in backdating a document and misleading the client about the situation may constitute a breach of the principle of honesty. Solicitors are expected to be truthful and transparent in their dealings.
Competence: The solicitor, who primarily practices as a domestic conveyancer, may have breached the competence principle by taking on a case in an area of law that is not their specialty without having the necessary competence and skills to handle it effectively.
Acting in the best interests of clients: Failing to take appropriate action in a timely manner, leading to judgment being entered against the client, may indicate a breach of the principle of acting in the best interests of the client. Solicitors are expected to prioritize their clients’ interests.
Duties to the court: Backdating a document and making false claims about its authenticity could be seen as a breach of the solicitor’s duties to the court. Solicitors have an obligation to act with integrity and honesty in their interactions with the court.
Public trust and confidence: The solicitor’s actions, if discovered, could erode public trust and confidence in the legal profession, which is a breach of the principle of upholding public trust and confidence in the provision of legal services.

Question 7

UNFAIR DISCRIMINATION

Answer 7

UNFAIR DISCRIMINATION
* Must not unfairly discriminate by allowing personal views to affect professional relationships and services
* Firms must monitor workforce diversity and provide data

Question 8

DISABLED EMPLOYEES
AND CLIENTS

Answer 8

DISABLED EMPLOYEES
AND CLIENTS
* Must make reasonable adjustments to ensure disabled person not placed at substantial disadvantage
* Cannot pass on costs to disabled person

Question 9

A solicitor interviews a paralegal who has very poor vision and would require a large screen monitor and screen reader software in order to be productive.
Which of the following is the legal position?
O (A) The solicitor can refuse to hire the paralegal because of the added costs that would be incurred
O (B) The solicitor cannot refuse to hire the paralegal because of the added costs that would be incurred unless first giving the
paralgeal an opportunity to agree to pay for the needed equipment
O (C) The solicitor cannot refuse to hire the paralegal because of the added costs that would be incurred and would likely have to
pay for a large screen monitor and screen reader software for the paralegal

Answer 9

C) The solicitor cannot refuse to hire the paralegal because of the added costs that would be incurred and would likely have to
pay for a large screen monitor and screen reader software for the paralegal

Question 10

ABUSE OF POSITION

MISLEADING OTHERS

Answer 10

ABUSE OF POSITION
Must not abuse position by taking advantage of clients or others

MISLEADING OTHERS
Must not mislead (or attempt to mislead) clients, the court, or others

Question 11

WHAT IS AN UNDERTAKING?

Answer 11

• A statement (oral or in writing);
• That the person giving it, or a third party, will do something or refrain from doing something;
• Which the person receiving the undertaking reasonably relies on

Question 12

True or false:
An undertaking is a written promise to do or refrain from doing something.
O True
O False

Answer 12

False

It is important to remember that even oral statements can give rise to an undertaking; undertakings are not limited to written statements

Question 13

BEST PRACTICES FOR UNDERTAKINGS

Answer 13

• In writing
• Keep a record
• Clear policy on who can give undertakings

Question 14

Your firm is acting for a client negotiating an agreement with a supplier. You are a trainee solicitor attending a face-to-face meeting with the solicitor acting for the supplier to finalise some details. You are asked for a necessary document signed by your client, which is part of the agreement. You do not have this with you, because you have forgotten to get it signed by your client. The solicitor asks you for an undertaking to forward the signed document by the end of the day. What should you do?
When you have written your response, press submit to return to the video and hear the answer.

Answer 14

Be Honest: Immediately inform the solicitor acting for the supplier that you do not have the necessary document signed by your client because you inadvertently forgot to obtain it. Honesty is a fundamental principle of legal ethics, and it’s crucial to admit your mistake rather than trying to cover it up.
Apologize: Offer a sincere apology to the other solicitor for the oversight and any inconvenience it may cause. Taking responsibility for your mistake demonstrates professionalism.
Explain the Situation: Clearly explain the situation to the other solicitor, including the steps you will take to rectify the error. You can assure them that you will work diligently to obtain the signed document as quickly as possible.
Request an Extension: Ask the other solicitor if it is possible to request an extension or a reasonable grace period to obtain the signed document from your client. Explain that you will make every effort to expedite the process.
Follow Up Immediately: After the meeting, contact your client urgently to explain the situation and request the necessary signature on the document. Make it clear that time is of the essence.
Document Everything: Keep a record of all communications, both with the other solicitor and with your client, regarding this matter. This documentation may be important in case any disputes or issues arise.
Comply with Ethical Obligations: Be aware of and comply with any ethical obligations, rules, or regulations in your jurisdiction that pertain to this situation. Consult with a more experienced colleague or supervisor if necessary.

Question 15

MISHANDLING EVIDENCE

Answer 15

MISHANDLING EVIDENCE
Must not attempt to influence witnesses or tamper with evidence

Answer 16

COMPENSATING
WITNESSES
* Must not provide, or offer, any benefit to witness if dependent on nature of evidence or outcome of case
* But can reimburse travel expenses or pay lost earnings

Answer 17

COURT ORDERS
Must comply
* Must not place self in contempt of court

Answer 18

DRAWING COURT’S
ATTENTION TO RELEVANT LAW
Must draw court’s attention to relevant cases, statutory provisions, and procedural irregularities

Question 19

What do you think you should do in a criminal proceeding if your client leans over and whispers to you “I think you’re doing a great job, seeing as how I did it”?

Answer 19

Maintain Attorney-Client Privilege: First and foremost, you should maintain the attorney-client privilege. This means that you should not disclose any confidential information shared by your client, even if it suggests their guilt. Attorney-client privilege is a fundamental legal principle that protects the confidentiality of communications between an attorney and their client.
Do Not Encourage or Condone Perjury: While maintaining attorney-client privilege, you should not encourage or condone perjury. If your client is considering testifying falsely, you should advise them against it. You have an ethical obligation not to present false evidence or engage in deceptive practices in court.
Explain Ethical Duties: You should remind your client of your ethical duties as their attorney, which include providing zealous representation within the bounds of the law and ethical rules. Emphasize that your role is to challenge the prosecution’s case, raise legal defenses, and ensure that the prosecution meets its burden of proof.
Evaluate the Case: It’s important to conduct a thorough evaluation of the case, including the evidence and the strength of the prosecution’s case. Based on this assessment, you should discuss with your client the potential outcomes of the case, including the possibility of a guilty verdict if they admit to the crime.
Consider Withdrawal: If your client insists on testifying falsely or engaging in unethical conduct that you cannot condone, you may need to consider whether you can continue to represent them. In some jurisdictions, if a client insists on perjury, an attorney may have to seek court permission to withdraw from the case.
Consult with Ethics Counsel: If you are uncertain about how to proceed ethically in a particular situation, it is advisable to consult with an ethics attorney or your state bar association’s ethics hotline for guidance specific to your jurisdiction.

Question 20

…

Answer 20

AUTHORITY TO ACT
* Must only act on instructions from client, unless client properly authorised someone else
* Must not act unless satisfied that authorised person’s instructions represent client’s wishes

Answer 21

CUSTOMISING SERVICE
Must consider and take account of each client’s attributes, needs, and circumstances

Answer 22

MANAGEMENT
RESPONSIBILITIES
In acting as supervisor or manager, must remain accountable for others work and effectively supervise

Answer 23

ACCOUNTING FOR FINANCIAL BENEFIT
Must account to client for any financial benefit received as a result of their instructions

Question 24

Your elderly client has decided to convey one of her houses to charity and has authorised her son to give you instructions. One day, the son tells you that the client has changed her mind and wants to convey the house to him instead. You know that the client has always been reluctant to give her son any financial support because of his gambling problem. What should you do?

Answer 24

Reaffirm Your Duty to the Client: Remind the son that your primary duty is to your elderly client, and you are obligated to follow her instructions and act in her best interests.
Meet with the Client: Arrange a meeting with your elderly client to discuss the change in instructions and ascertain her wishes. It’s crucial to ensure that the client is making an informed and voluntary decision. You should meet with her privately to allow for open and confidential communication.
Assess Capacity: During the meeting with the client, assess her mental capacity to make decisions. Ensure that she is fully aware of the consequences of transferring the house and that her decision is not influenced by undue pressure or coercion.
Consider Potential Vulnerability: Given the client’s stated concerns about her son’s gambling problem, assess whether she may be vulnerable to undue influence or exploitation. If you have concerns about her vulnerability, you may need to take additional steps to protect her interests.
Document Everything: Maintain clear and thorough records of all interactions, including the client’s instructions, any discussions with the son, and your assessments of capacity and vulnerability. Documentation is crucial for protecting both your client and yourself in case any issues arise later.
Legal and Ethical Obligations: Ensure that the proposed property transfer complies with all legal requirements, including property laws and regulations. Additionally, adhere to the ethical obligations and rules of professional conduct governing attorneys in your jurisdiction.
Consider Seeking Independent Legal Counsel for the Client: If there are concerns about the client’s capacity or vulnerability, or if the change in instructions appears to be against her best interests, you may want to recommend that she seek independent legal counsel to advise her on the matter.
Reporting: If you have reasonable grounds to suspect that your client is being financially exploited or subjected to undue influence, you may have a legal obligation to report your concerns to the appropriate authorities, such as adult protective services or an equivalent agency in your jurisdiction.

Question 25

Which of the following should you do if your client insists on lying in court?
* (A) Withdraw and inform the court of
the lie.
* (B) Urge the client to be truthful but
continue so as not to breach client confidentiality.
* (C) Withdraw and inform the court you are no longer able to act for your client for ‘professional reasons’

Answer 25

(C) is correct. If the client insists on continuing to lie in court, the solicitor must withdraw. Failure to withdraw would breach the duty to not mislead the court. However, to avoid breaching the duty of confidentiality owed to a client, the solicitor does not tell the court that the client is lying, but instead explains that the withdrawal is due to ‘professional reasons’.

Question 26

Can a solicitor offer to make any payment to a witness in connection with their attendance at a court proceeding?
* (A) YES
* (B) NO

Answer 26

(A) is correct. A solicitor may offer to pay for a witness’s travel expenses and for earnings lost by attending court, but the payment may not be conditioned on giving favourable evidence.

Question 27

CLIENT MUST
BE INFORMED

Answer 27

CLIENT MUST
BE INFORMED
Must inform the client of any interest in referral or introduction

Question 28

PAYMENTS PROHIBITED IN CRIMINAL PROCEEDINGS

Answer 28

PAYMENTS PROHIBITED IN CRIMINAL PROCEEDINGS
Any payments for referral or introduction prohibited where client subject to criminal proceedings

Question 29

A solicitor is acting for a client who has been charged with murder. The solicitor decides that the client would benefit from mental health counselling. The solicitor’s cousin is a counsellor who specialises in the type of treatment the client needs, so the solicitor refers the client to his cousin and informs the client of the family relationship.
Did the solicitor breach the Code of Conduct by making the referral?`
(A) Yes, because the client is subject to criminal proceedings.
(B) No, because the solicitor informed the client of his relationship with the cousin.

Answer 29

(B) is correct. Any payments with respect to a referral or introduction are prohibited in relation to a client who is subject to criminal proceedings. Here the client is subject to criminal proceedings, but there was no payment made and so the rule does not apply. The solicitor acted correctly by informing the client of his interest in making the referral.

Question 30

PROHIBITED REFERRAL FEES

Answer 30

PROHIBITED REFERRAL FEES
Must not pay or receive referral fees in relation to claims for damages following personal injury or death

Question 31

SOLICITOR
‘S SEPARATE
BUSINESS

Answer 31

SOLICITOR
‘S SEPARATE
BUSINESS
* Must not refer, recommend, or introduce client to separate business without client’s informed consent
Must not divide client’s matter with separate business without client’s informed consent

Question 32

REQUIRED COMPLIANCE
OFFICERS

Answer 32

REQUIRED COMPLIANCE
OFFICERS
COLP (compliance officer for legal practice matters)
* COFA (compliance officer for financial matters)

Question 33

TYPES OF CONFLICTS

Answer 33

TYPES OF CONFLICTS
* “Own interest conflict” = between you and the client
* “Conflict of interest”/”client
conflict” = between clients

Question 34

COMMON OWN
INTEREST CONFLICTS

Answer 34

COMMON OWN
INTEREST CONFLICTS
* Financial interest in client
* Substantial gift from client
- Usually must not act (unless client has taken independent advice with regard to making the gift)
* Financial interest in other side
* Own employment
* Personal relationship with other side`
* Business transaction with client
Own mistake in matter

Question 35

A claims management company refers a personal injury case to a solicitor. In exchange for the referral, the claims management company asks the solicitor for a £1,000 ‘marketing fee’.
Should the solicitor make the payment?
* (A) Yes, because it is a marketing fee.
O (B) No, because referral fees
are prohibited in personal injury cases.

Answer 35

B) is correct. The Legal Aid, Sentencing and Punishment of Offenders Act 2012 prohibits the payment or receipt of referral fees in claims for damages following personal injury or death. Even though the claims management company is calling this a ‘marketing fee’, it would be made in exchange for the referral, and is therefore prohibited.

Question 36

A solicitor’s long-time client asks her to make a claim against a company. The solicitor’s husband is the managing director of this company.
What should the solicitor do?
* (A) Refuse to act
* (B) Explain the situation to the
client and seek their informed consent.
© (C) Advise the client to take independent advice as to whether the solicitor should act.

Answer 36

(A) is correct. A solicitor must not act when there is an own interest conflict or a significant risk of an own interest conflict. There are no exceptions to this rule.

Question 37

CLIENT CONFLICT

Answer 37

CLIENT CONFLICT
Must not act if there is a conflict between clients, or a significant risk of conflict, UNLESS exception applies
Exception 1: Substantially common interest
* Exception 2: Competing for same objective

Question 38

CONDITIONS FOR
EXCEPTIONs

Answer 38

CONDITIONS FOR
EXCEPTIONs
Clients informed consent, given or evidenced in writing
* Where appropriate, safeguards to ensure confidentiality
Satisfied it is reasonable to act

Question 39

What are the two exceptions to the general rule that if there is a conflict between clients, or a significant risk of conflict, you cannot act for both clients?
Choose two.
(check all that apply)
* (A) The clients give informed consent.
* (B) The clients are competing for the same objective.
* (C) It is reasonable to act for both clients.
* (D) The clients have a substantially common interest.

Answer 39

• (B) The clients are competing for the same objective.
• (D) The clients have a substantially common interest.

The two exceptions are (B) when the clients are competing for the same objective (such as clients bidding separately on a restaurant) and (D) when the clients have a substantially common interest (such as clients setting up a business together). The other choices ((A) informed consent and (C) reasonableness) are two of the three conditions that must be satisfied for either of these exceptions to apply. The third condition is that, where appropriate, there are effective safeguards to ensure each client’s information is kept confidential.

Question 40

DUTY OF CONFIDENTIALITY

Answer 40

DUTY OF CONFIDENTIALITY
* Must keep client’s affairs confidential unless disclosure (1) required or permitted by law or
(2) client consents
Subject to various exceptions

Question 41

CONFIDENTIALITY AND LEGAL PROFESSIONAL
PRIVILEGE

Answer 41

CONFIDENTIALITY AND LEGAL PROFESSIONAL
PRIVILEGE
Privilege = confidential
communications only
Confidentiality= all affairs of client

Question 42

DUTY OF DISCLOSURE

Answer 42

DUTY OF DISCLOSURE
Must disclose to client any information material to retainer (subject to limited exceptions)

Question 43

CONFIDENTIALITY VS.
DISCLOSURE

Answer 43

CONFIDENTIALITY VS.
DISCLOSURE
* Firm acting for A against B;
solicitor at firm holds information about B
Firm can act for A only if
- Informed consent in writing from B, or
- Safeguards in place

Question 44

For each of the following situations, state whether the solicitor likely can represent both clients under an exception to the general rule for client conflicts.

Answer either Yes or No.

1. A brother and sister wish to purchase a house together as joint tenants.
2. A business owner would like to sell her business to her best friend.
3. Two friends wish to form a corporation together to carry on business as a pub.

Answer 44

1. yes
2. no
3. yes

Generally, if there is a significant risk that two clients would have conflicting interests, a solicitor cannot act for both. However, if both clients have a substantially common interest or they are competing for the same objective, the solicitor can represent both provided certain conditions are met. The brother and sister have a substantially common interest—purchase of the house as joint tenants—and so it is likely the solicitor could represent both. The same is true of the friends who wish to form a corporation to open a pub. However, in the case of the business owner who wants to sell her business to her friend, neither exception applies.

Question 45

True or false: The duty of confidentiality applies only to a solicitor’s communications with their client.
O (A) True
* (B) False

Answer 45

(B) is correct. Unlike legal professional privilege, which applies only to confidential communications between the solicitor and client, the duty of confidentiality applies to all of the client’s affairs

Question 46

A solicitor representing the claimant in a civil matter receives a letter from the defendant that includes an admission. The letter was clearly intended for the defendant’s solicitor. Which of the following states the legal position?
O (A) Under the duty of disclosure, the solicitor must inform their client of the information
O (B) The solicitor is not required to inform their client of the information under the duty of disclosure
O (C) Under the duty of confidentiality, the solicitor must not inform their client of the information.

Answer 46

(B) is correct. A solicitor owes each client a duty to disclose all information relevant to the client’s matter. However, when it is obvious that information was accidentally sent to the solicitor, the solicitor is not required to disclose the information. Therefore, (A) is wrong. (C) is wrong because it makes no sense—the solicitor owes a duty of confidentiality to their client, not to the other party.

Question 47

True or False: A solicitor must notify the SRA if the solicitor is made a defendant in a civil suit for extensive personal injury arising out of an car accident.
O (A) True
O (B) False

Answer 47

B) is correct. Being made a defendant in a civil suit is not one of the events for which a solicitor must notify the SRA. The events triggering the duty to notify are: criminal charge, conviction, or caution; and insolvency proceedings.

Question 48

NOTIFYINg SRA
OF EVENTS

Answer 48

NOTIFYINg SRA
OF EVENTS
* Criminal charge, conviction, caution
Insolvency
*Changes to previous information
* Firms have similar duty

Question 49

REPORTING BREACHES
TO SRA

Answer 49

REPORTING BREACHES
TO SRA
Must report any facts capable of amounting to serious breach
* Must report any facts that should be brought to its attention so that it may investigate

Question 50

REPORTING TO
COMPLIANCE OFFICER

Answer 50

REPORTING TO
COMPLIANCE OFFICER
Duty satisfied if solicitor reports to compliance officer on the understanding they will report to SRA

Question 51

ADMITTING MISTAKES
TO CLIENT

Answer 51

ADMITTING MISTAKES
TO CLIENT
* Must be open and honest with client
* If client suffers loss or harm, must put matters right (if possible) and explain options

Question 52

True or False: A solicitor in a firm need not inform the client of a mistake so long as the solicitor reports the mistake to the firm’s compliance officer for legal practice.
* (A) True
* (B) False

Answer 52

B) is correct. Reporting to the compliance officer relieves a solicitor from needing to report to the SRA but does not absolve the solicitor from reporting a mistake to the client.

Answer 53

KEEPING CLIENT INFORMED
* What legal services they need
* How matter will be handled
* Options
* Pricing (specify VAT)
* Likely overall cost

Question 54

OUTSET OF MATTER

Answer 54

OUTSET OF MATTER
Inform client in writing of:
* Right to complain
* Procedure for complaining within firm
* Right to complain to LeO and when

Question 54

EIGHT WEEKS AFTER UNRESOLVED COMPLAINT

Answer 54

EIGHT WEEKS AFTER UNRESOLVED COMPLAINT
Inform client in writing of:
Right to complain to Leo and timeframe
* Full details of how to contact Leo

Question 55

HANDLING COMPLAINTS

Answer 55

HANDLING COMPLAINTS
Must handle promptly, fairly, and free of charge

Question 56

Which of the following information should be included in the client care letter?
(check all that apply)
* (A) The client’s right to complain to the Legal
Ombudsman.
* (B) The identity of the client.
* (C) The basis for the solicitor’s costs and the likely overall cost.
* (D) Fees to be charged for investigating client complaints.
* (E) The procedure for submitting complaints to the firm.

Answer 56

A solicitor cannot charge a fee for resolving a client’s complaints ((D)). The other items ((A), (B), (C), and (E)) should be included in the client care letter.

Question 57

–

Answer 57

PUBLICITY
* Must be accurate and not misleading
* General public advertising allowed
* Unsolicited approaches prohibited
- Exception: existing or former clients

Question 58

A solicitor is acting for a client charged with theft. At the court hearing, the prosecution fail to mention a recent case on theft which would greatly improve their chances of success in their case against the client. The solicitor knows about the case, having discovered it in a recent legal catch-up seminar.
Which of the following statements best describes what the solicitor should do?

A .The solicitor should immediately cease to act.
B. The solicitor should seek the client’s instructions about whether to tell the court about the case.
C. The solicitor should tell the court about the case.
D. The solicitor should tell the client that the solicitor can only continue to act until the client finds another solicitor.
E. The solicitor should present the client’s case to the court without referring to any case law.

Answer 58

(C) A solicitor must draw the court’s attention to relevant cases and statutory provisions, and any procedural irregularities of which they are aware, and which are likely to have a material effect on the outcome of the proceedings. The solicitor here should draw the court’s attention to the case, and perhaps explain why it is not to be followed in his client’s case. (E) is incorrect because failing to draw the court’s attention to the case would violate this duty. Neither (A) nor (D) are appropriate responses to this situation. (B) is incorrect because the client’s instructions would not override the solicitor’s duty to disclose the case.

Question 59

A solicitor is representing a client in a litigation matter. The key witness expected to testify in the client’s favour tells the solicitor that he does not plan to testify unless he is paid to do so. The witness also wants the solicitor to pay for his travel expenses.
Which of the following statements best describes how the solicitor should respond?
A. The solicitor is not permitted to make any type of payment to the witness.
B. The solicitor should offer to pay the witness’s travel expenses only.
C. The solicitor should offer to pay the witness’s travel expenses and an additional sum for testifying for the client.
D. The solicitor should offer to pay the witness’s travel expenses, an additional sum for testifying for the client, and a success fee if the client prevails.
E. The solicitor is permitted to offer any type of payment to the witness but must not actually make the payment.

Answer 59

(B) A solicitor must not make or offer to make payments to witnesses dependent upon their evidence or the outcome of the case. (A) is incorrect because paying a witness’s legitimate travel expenses, or lost earnings, is not a breach. (C) and (D) are incorrect because payments dependent on the witness’s evidence and payments contingent on a favourable result in the case are prohibited. (E) is incorrect because the solicitor breaches the Code by simply offering to make this type of payment.

Question 60

A solicitor becomes aware that a partner in her firm is selling illegal drugs. To the solicitor’s knowledge, the partner has been doing this on his personal time only.
Which of the following statements best describes the solicitor’s obligations under the SRA
Standards and Regulations?
A .The solicitor must report the matter to the firm’s compliance officer for legal practice (‘COLP’) on the understanding that the COLP will report the matter to the SRA.
B. The solicitor must report the matter directly to the SRA.
C. The solicitor is not required to do anything because she is only required to report her own serious breaches.
D. The solicitor must report the matter to the firm’s compliance officer for legal practice (‘COLP’) on the understanding that the COLP will report the matter to the SRA. The solicitor must later confirm that the COLP has made a report to the SRA.
F. The solicitor is not required to do anything because the partner’s actions are not connected with any legal services provided by the firm.

Answer 60

(A) If a solicitor is aware that any person or body (including themselves) has committed a serious breach of a regulatory arrangement, they must ensure that a prompt report is made to the SRA or other approved regulator, as appropriate. Any obligation to provide information to the SRA is satisfied if the solicitor provides the information to their firm’s COLP (compliance officer for legal practice) or COFA (compliance officer for finance and administration), as and where appropriate, on the understanding that they will provide the information to the SRA. (B) is incorrect because a solicitor meets their obligation by reporting the matter to the COLP on the understanding the COLP will make a report. The solicitor is not required to make their own report to the SRA (unless there is some indication that the COLP will not make a report). (C) is incorrect because a solicitor must report the serious breaches of other solicitors, as well as their own serious breaches. (D) is incorrect because once the solicitor provides information to the COLP on the understanding that the COLP will report the matter to the SRA. the solicitor has no duty to check that a report was made. (E) is incorrect because a breach can be serious even if it is not connected with any legal services; the SRA generally regards criminal behaviour as being serious.

Question 61

On Friday night, an employee who works in the accounts department of a legal firm is heard in a restaurant talking about the details of a former client’s personal injury matter which completed the previous year. The former client in question is sitting at an adjacent table and makes a complaint to the firm on Monday morning, alleging a breach of the firm’s duty of confidentiality.
Which of the following statements best describes whether the client’s complaint is likely to succeed?
A
It will not succeed because the comments were made outside office hours.
B
It will not succeed because the comments were not made by a solicitor.
C
It will succeed because any employee of the firm can breach the duty of confidentiality.
D
It will succeed because the duty of confidentiality continues until a client has died.
E
It will not succeed because the retainer has ended.

Answer 61

(C) The duty of confidentiality to clients is owed by everyone in the firm. Therefore, (B) is incorrect. (A) is incorrect because the duty extends to all the client’s affairs at all times; the fact that the comments were made outside the office arguably makes the breach worse. (D) and (E) are incorrect because the duty of confidentiality continues despite the end of the retainer and even after the death of the client.

Question 62

A corporate solicitor works in a niche commercial law firm. He has a very good relationship with the director of a firm who instructs him on a regular basis to advise the business on company law. One day, the director phones the solicitor to say that he is getting married next week and he would like the solicitor to draw up a prenuptial agreement for him. This instruction would require knowledge of an area of law in which the solicitor does not practise. The director says that he appreciates that this is not what the solicitor would normally do for the business, but that he trusts the solicitor to protect his interests as the solicitor has always provided such an excellent service to the business.
Should the solicitor accept the director’s instructions in this matter?
A
Yes, as long as the retainer allows for time to get up to speed with the law.
B
Yes, because the solicitor can outsource the work to another firm with the necessary knowledge.
C
Yes, because the solicitor is entitled to provide any type of legal service.
D
No, because the solicitor must ensure that the service provided to clients is competent.
F
No, because the solicitor will not have indemnity insurance to protect himself for negligent work.

Answer 62

(D) A solicitor must ensure that the service provided to a client is competent and delivered in a timely manner. Competency includes the need to keep professional knowledge up to date. For this reason, a solicitor should not offer legal services to clients in areas of law where they do not have appropriate levels of competency, especially in a situation where the client needs the legal services to be completed quickly. (A) is incorrect because it would be improper for a solicitor to take longer to deal with a matter because of the need to upskill in this area. (B) is incorrect because the director has asked for the solicitor’s services, not the services of a different firm. (C) is incorrect because competency is a consideration when accepting instructions. (E) is incorrect because the firm’s professional indemnity insurance covers all services.

Question 63

A solicitor is considering opening a file for her two prospective clients who want to set up a business and contribute different amounts of time and money to the business. The prospective clients have not agreed on the detail of the sums and time involved, and the solicitor suspects that they will not be able to come to a consensus. The solicitor declines to act for both.
Which of the following statements best describes whether the solicitor has taken the correct course of action?
A
The solicitor should have taken on both prospective clients because there was no actual conflict of interest at this point.
B
The solicitor is correct because identifying a ‘significant risk’ of a conflict at the outset of the retainer is sufficient reason to refuse to act.
C
The solicitor should have taken on one of the prospective clients and referred the other prospective client to a different member of her firm.
D
The solicitor should have taken on both prospective clients despite the ‘significant risk’, provided they both consented in writing.
F
The solicitor is correct because representing two clients with a common interest is prohibited.

Answer 63

(B) It is up to the solicitor to decide how to apply the conflict rules and some might argue that to refuse to act for both is too risk-averse. But the solicitor is under a duty to consider whether there will be a ‘significant risk’ of a conflict at the outset of the retainer and having identified this risk, best practice would demand that he refuse to act for both. (A) is incorrect because recognising a significant risk of a conflict is a sufficient reason to decline to act. (C) is incorrect because the conflicts of interest rules generally apply to a whole firm, not just individual solicitors within the firm. (D) is incorrect. Neither of the exceptions allowing a solicitor to act in a potential conflict situation apply here, so the fact that the clients might be prepared to consent is not sufficient to allow the solicitor to act. Although the prospective clients have the common interest of setting up a business, their inability to come to a consensus suggests that it is not reasonable for the solicitor to act, so the ‘substantially common interest’ exception would not apply. (E) is an incorrect statement. In fact, a solicitor may represent multiple clients with a substantially common interest despite a conflict if certain requirements are met, but that exception would not apply here.

Question 64

A solicitor is asked to act for a driver who wishes to plead not guilty to a road traffic charge of speeding. He maintains that it was not him who was driving at the time, but his wife. After interviewing the husband and wife, the husband is heard by a member of staff to say to the wife, “Fooled him, then. Now let’s fool the court”. The member of staff tells the solicitor what she heard the husband say.
Which of the following statements best describes what the solicitor should do?
A
The solicitor should cease to act immediately.
B
The solicitor should ignore what the member of staff told him.
C
The solicitor should proceed with the trial on the basis of a not guilty plea.
D
The solicitor should ask the client whether they wish to correct any of their instructions, and cease to act if the client insists on providing false information to the court.
E
The solicitor should tell the police.

Answer 64

(D) A solicitor has a duty not to mislead the court or others. This standard can be violated by affirmative acts, by omissions, or by being complicit in the acts or omissions of others (including the client). Thus, if a solicitor becomes aware that a client is attempting to mislead the court in any material matter, the solicitor should refuse to continue acting for the client unless the client agrees to disclose the truth to the court. (A) is incorrect because the solicitor should first attempt to convince the client to disclose the truth. (B) and (C) are incorrect, because, if the solicitor did proceed on the basis of a not guilty plea, he would be misleading the court, and acting with a lack of integrity. If a person admits their guilt, then they are entitled to plead not guilty and put the prosecution to proof of its case, but they must not introduce any evidence or make statements in support of their plea as this would be misleading. (E) is incorrect because there is no obligation on the solicitor to tell the police in these circumstances. Doing so would be a breach of the solicitor’s duty of confidentiality.

Question 65

A client wants her long-time solicitor to assist her in investing in a specific company. The solicitor recently represented the company in a matter which has now concluded, and during the representation the solicitor learned that the company was on the verge of financial ruin due to a defective product. This information is not yet known to the public.
Which of the following statements best describes what the solicitor should do?
A
The solicitor should inform the client about the company’s financial trouble because of her duty of disclosure to the client.
B
The solicitor should decline to act for the client in this matter because of her duty of confidentiality to the company.
The solicitor should act for the client in this matter but should not mention the company’s financial trouble because of her duty of confidentiality to the company.
D
The solicitor should inform the client about the company’s financial trouble because the solicitor no longer represents the company.
F
The solicitor should inform the client about the company’s financial trouble because of her duty to act in the client’s best interests.

Answer 65

(B) An individual who is advising a client must make that client aware of all information material to that retainer of which the individual is aware. Here the company’s financial trouble is clearly material to the client’s proposed investment. However, the solicitor must ensure that where their duty of confidentiality to one client comes into conflict with their duty of disclosure to another client, the duty of confidentiality takes precedence. (A) is therefore incorrect. (C) is incorrect because the solicitor would not be able to act in the client’s best interests due to her inability to disclose the company’s confidential information. For this reason, the best course of action is to decline to act for the client in this matter. (D) is incorrect because a solicitor continues to owe a duty of confidentiality to former clients. (E) is incorrect because as discussed above, the solicitor owes the company a duty of confidentiality and should not represent the client in this matter.

Question 66

A solicitor is acting on a conveyancing matter and discloses in the client care letter that he has paid a referral fee for the work. The client complains that this is a ‘prohibited referral fee’ and, as such, the solicitor is not permitted to make such a payment.
Which of the following statements best describes whether the client is correct?
A
The client is correct, as all referral fees are prohibited.
B
The client is correct, as all referral fees are prohibited unless the client provides advance written consent.
C
The client is correct, as referral fees in conveyancing matters are prohibited.
D
The client is not correct, as this is not a prohibited referral fee and it was disclosed to the client at the outset.
F
The client is not correct, as any referral fee is permitted if disclosed to the client at the outset.

Answer 66

(D) The client is not correct as this is not a prohibited referral fee and it was disclosed to the client at the outset. A ‘prohibited referral fee’ is the payment or receipt of referral fees in claims for damages following personal injury or death. The SRA Code of Conduct for Solicitors, RELs and RFLs also prohibits referral fees (and all payments relating to referrals or introductions) in respect of clients who are the subiect of criminal proceedings. The referral fee in this conveyancing matter was not prohibited and the client was properly notified. (A) is incorrect because not all referral fees are prohibited. (B) is incorrect because although a client should be notified of any arrangements that are relevant to the client’s instructions, there is no rule requiring the client’s advance written consent to a referral arrangement. (C) is incorrect because referral fees are generally permitted except in claims involving personal iniury or death, or in respect of clients who are the subiect of criminal proceedings. (E) is incorrect because prohibited referral fees are prohibited even if the client consents

Question 67

A person is selling his house to a first-time buyer who has not used a solicitor before. The seller has instructed his solicitor to act on the sale and has suggested that the solicitor also act for the buyer to keep things simple.
The seller’s solicitor declines to act for the buyer.
Which of the following statements best describes whether the solicitor was correct to decline to act for the buyer?
A
The solicitor was correct in that she should not act for the buyer, but she could have sent the buyer to a different solicitor at a different branch office of her firm.
B
The solicitor was correct to decline because the risk of a conflict of interest is too great.
C
D
The solicitor was incorrect to decline; she can act for the seller and buyer provided they both give written consent, as both parties are competing for the same objective.
The solicitor was incorrect to decline because she can act for both parties and if a conflict arises during the retainer, she can send the buyer to another firm.
F
The solicitor was incorrect to decline; she can act for the seller and buyer provided they both give written consent, as both parties have a substantially common interest.

Answer 67

(B) The solicitor has correctly identified at the outset that there is a significant risk of conflict between the seller and the buyer and has thus declined to act for the buyer.
There is a significant risk of conflict when acting for both a buyer and seller, and the risk is even greater here because the buyer is not a sophisticated user of legal services.
(A) is incorrect. There is no longer an exception allowing a solicitor to act in these circumstances. (C) is incorrect because the ‘competing for the same objective’ exception is not relevant to this scenario. (D) is incorrect because the solicitor should assess the risk of a conflict at the outset of the matter. She should not act and conclude that one of the parties can be sent elsewhere if an actual conflict arises during the retainer. (E) is incorrect. The ‘substantially common interest’ exception does not apply to sellers and buyers in conveyancing transactions, as the parties have different goals in relation to the matter.

Question 68

A solicitor has been engaged to act in a discrimination matter for a client. The client does not speak English, and a colleague at the solicitor’s firm who speaks the client’s language attended the solicitor’s initial meeting with the client to provide translation services. The solicitor intends to send the client the firm’s client care information, including information as to the client’s options for making a complaint.
Which of the following best describes what the solicitor is required to do?
A
B
The solicitor must provide the client with a formal client care letter in both English and the client’s language.
The solicitor must provide the client with a formal client care letter, and this can be solely in English. It is the client’s responsibility to get the documents translated if the client wishes to do so.
C
D
The solicitor must provide the client with all required client care information, and it is common practice to provide this in the form of a client care letter. The solicitor should discuss options for translating the information into the client’s language.
As the client does not speak English, the solicitor is not required to provide him with a formal client care letter or any other documents. Instead, the solicitor’s colleague should explain the required client care information to the client verball.
E
The solicitor is required to provide a formal client care letter in the client’s own language.

Answer 68

(C) The SRA does not require a formal client care letter, but a solicitor must provide all required client care information to the client. Furthermore, a solicitor must give clients information in a way they can understand. This choice best describes what the solicitor must do. (D) is incorrect because complaints information must be provided in writing, so it would not be sufficient to transmit that information verbally. (B) is incorrect because it does not address the requirement to provide the information in a way the client understands. (A) and (E) are incorrect because a formal client care letter is not required.QUESTION

Question 69

A commercial company has approached a solicitor to act on its behalf in respect of the potential acquisition of a rival business. The solicitor has shares in the rival business and will make a significant profit if the deal is completed. The solicitor discloses this to the company and advises them that if they take independent advice on this point then he will be able to accept their instructions. The company agrees to take independent advice.
Should the solicitor act for the company in these circumstances?
A
No, because this is an own interest conflict and there is an absolute prohibition on acting.
B
Yes, provided the client takes independent advice.
C
Yes, provided the client takes independent advice and also signs a written disclaimer.
D
Yes, provided the client takes independent advice and also signs a form of consent.
F
Yes, provided the client takes independent advice and the SRA also waives the conflict duty.

Answer 69

(A) A solicitor must not act if there is an own interest conflict or a significant risk of an own interest conflict, such as in circumstances where the solicitor will gain a financial advantage if a client’s instructions are completed. (B), (C), (D), and (E) are incorrect because an own interest conflict is an absolute bar to acting.

Question 70

Someone for whom a solicitor has not acted before rings up and explains that her elderly mother wishes to make a will. The daughter then sends the solicitor an email with the mother’s details, explaining that the mother wishes to leave all her property to the daughter. The daughter tells the solicitor to send the will to her and that she will arrange for the mother to sign it.
Which of the following statements best describes how the solicitor should respond?
A
The solicitor should draft the will and send it to the daughter as requested, because a solicitor must act on his client’s instructions.
B
The solicitor should refuse to act because he is suspicious of the daughter.
C
The solicitor should refuse to draft the will without seeing the mother, preferably alone, and satisfying himself that the mother has the mental capacity to make the will, and that she is not acting under duress.
D
The solicitor should attempt to convince the mother not to make the will.
F
The solicitor should attempt to convince the client to make a lifetime gift of the house, rather than leave it to the daughter by will.

Answer 70

(C) Instructions should come direct from a client, and not via a third party, especially one who is set to gain from the transaction. Based on these facts, the best course of action is to refuse to act until the solicitor is satisfied that the client is not acting under duress and that the instructions represent the client’s wishes. (A) is incorrect. The mother is the client, and not the daughter. (B) is incorrect because the solicitor can make the will provided the proper safeguards (as in (C)) are met. (D) and (E) are incorrect because it is not the solicitor’s job to make the client’s decision for her, simply because the client is elderly.

Question 71

A solicitor is instructed in a complex litigation matter. The client care letter contains information about costs, saying only that the solicitor will charge an hourly rate of £500. The solicitor’s next communication about costs is a final bill to the client at the end of the matter with an explanation of the charges.
Did the solicitor provide adequate costs information to the client?
A. Yes, because the solicitor provided their hourly rate.
B. Yes, because the solicitor provided their hourly rate at the beginning of the matter and an explanation of the charges at the end of the matter.
C. No, because the solicitor did not provide an estimate of how long the matter would take or details of any other costs that might be incurred.
D. Yes, because a solicitor is encouraged but not required to send a client care letter.
E. No, because a solicitor must write to the client every week with a costs update.

Answer 71

(C) A solicitor must give the client the best possible information about how their matter will be priced. Additionally, clients must receive the best possible information, both at the time of engagement and when appropriate as their matter progresses, about the likely overall cost of their matter and any costs incurred. (A) and (B) are incorrect as this would be regarded as insufficient information; the solicitor never explained the likely overall cost to the client. (D) is incorrect because a solicitor who does not give their client costs information is in breach of regulatory duties. A formal client care letter is not required, but a solicitor still must provide the required costs information to the client in some manner. (E) is incorrect as the SRA does not prescribe weekly updates.

Question 72

A client wants to instruct a solicitor and during the initial conversation makes her strong religious views known to the solicitor. The views held by the client are legal and are not related to the client’s matter, but the solicitor says, “I disagree with your religious views and so I am refusing to act for you”.
Which of the following statements best describes the solicitor’s position?
A
The solicitor is entitled to refuse the work because the retainer has not been created.
B
The solicitor cannot refuse to accept instructions and should have accepted the work.
C
The solicitor may be discriminating unfairly and should not have refused instructions on this basis.
D
The solicitor should have been less obvious; he could have refused instructions for a different reason.
E
The solicitor was entitled to refuse the work because disagreement with religious views constitutes a sufficiently good reason.

Answer 72

(C) The solicitor must not unfairly discriminate by allowing his personal views to affect his professional relationships. Whether the prospective client may have any success if she makes a complaint is a separate matter, but the solicitor should not have refused to act on the basis that he disagreed with the client’s religious beliefs. (A) is a true statement. However, the solicitor is not entitled to unfairly discriminate on various grounds, including religion, when considering whether to act. (B) is incorrect because a solicitor can refuse instructions, but must not discriminate in so doing. (D is incorrect as it would demonstrate a lack of integrity, and thus is not the best answer. (E) is incorrect because unfair discrimination is prohibited.

Question 73

During a telephone conversation, a secretary in a solicitor’s firm told the solicitor on the other side of a transaction that £10,000 would be sent by bank transfer that day to complete the transaction. After their conversation the solicitor on the other side notified her client and took various administrative steps to prepare to close the file. The £10,000 was not sent. The solicitor on the other side is now demanding the money and accusing the secretary’s firm of being in breach of undertaking.
Is the secretary’s firm in breach of undertaking?
A
Yes, because the secretary said that the £10,000 would be sent and it was not.
B
No, because an undertaking must be in writing.
C
No, because only a solicitor can give an undertaking.
D
Yes, because the transaction did not complete.
E
No, provided the secretary did not use the word ‘undertaking’ during the conversation.

Answer 73

(A) The secretary’s firm is in breach of undertaking because the secretary said that the £10,000 would be sent and it was not, and the other side placed reliance on the secretary’s statement. (B) is incorrect because an undertaking can be oral. (C) is incorrect because an undertaking can be given by a member of support staff; it does not have to be given by a solicitor. (D) is incorrect. It is true that the transaction did not complete, but this is not the reason the firm is in breach of undertaking. The firm is in breach because the secretary said that the £10.000 would be sent, and it was not. (E) is incorrect because the word ‘undertaking’ does not have to be used.

Question 74

A firm of accountants has contacted a firm of tax solicitors with a view to setting up a fee sharing arrangement in respect of any clients they refer to the solicitors. The accountants’ proposed contract for the arrangement states that the accountants will be giving the solicitors instructions on the clients’ behalf, and that the solicitors must use a particular case management system to enable the end-user client to log in and check the progress of their matter.
Which of the following statements best describes the solicitors’ position?
A
The firm of solicitors is permitted to proceed with the arrangement because solicitors are able to share their fees with third parties.
B
The firm of solicitors is permitted to proceed with the arrangement as long as both parties inform each referred client of the fee sharing arrangement.
C
The firm of solicitors should not proceed with the arrangement because solicitors are only able to share their fees with other lawyers.
D
The firm of solicitors should not proceed with the arrangement because referral fees are prohibited.
E
The firm of solicitors should not proceed with the arrangement because the requirements may not always be in the clients’ best interests.

Answer 74

(E) The firm of solicitors should not proceed with the arrangement because it would violate various Principles and provisions of the SRA Code of Conduct. The requirements of the contract may not always be in the clients’ best interests. The solicitors have a professional duty to take instructions directly from clients rather than the accountants, and to act with independence. The contract also raises a problem with client confidentiality and the use of the accountants’ case management system. (A) is incorrect. Fee sharing is not prohibited in most matters, but such arrangements still must not violate the Principles and the Code of Conduct. (B) is incorrect. Although it is true that the client must be informed of any fee sharing arrangement that is relevant to their matter, the solicitors should not enter into this particular arrangement because it may not be in the clients’ best interests. These issues are not resolved by informing the client of the arrangement. (C) is incorrect because a solicitor is generally allowed to share fees with any third party. (D) is incorrect because payments in exchange for a referral are generally permitted (with certain exceptions in personal injury matters or where the client is subject to criminal proceedings). However, as previously stated, fee sharing arrangements and payments for referrals must not violate a solicitor’s or firm’s other professional obligations.

Question 75

A solicitor is asked to act for a husband in divorce proceedings. At the initial interview, the husband tells the solicitor that he has no income or capital, and so cannot pay his wife any money. He also tells the solicitor that he is the sole shareholder in a number of profitable offshore businesses, the existence of which his wife is ignorant. He forbids the solicitor from revealing the existence of the offshore businesses to his wife’s solicitor.
Which of the following statements best describes what the solicitor should do in these circumstances?
A. As the retainer is already in existence, the solicitor must act on the client’s instructions, and not reveal the business to the wife’s solicitor.
B. The solicitor should tell the police what the husband has said.
C. As there is no retainer as yet, the solicitor can refuse to act.
D. As the proposed instructions would involve the solicitor engaging in improper behaviour, the solicitor should definitely refuse to act.
E. The solicitor should act for the husband on the basis that the solicitor will not reveal the existence of

Answer 75

(D) This choice best describes the solicitor’s position. The solicitor should refuse to act because this would involve misleading the wife’s solicitor, and, in due course, the court. (C) is also a correct statement, but (D best describes the situation. The solicitor is not just permitted to refuse to act; the solicitor should definitely refuse to act. (A) is incorrect because the retainer is not yet in existence. Also, even if the retainer were in existence, the solicitor should not act on the client’s instructions in this situation. (B) is incorrect because there is no evidence of criminal wrongdoing and the solicitor has a duty of confidentiality to the husband. (E) is incorrect. By taking this position, the solicitor would breach their fundamental duty to act with integrity.

Question 76

A solicitor attends a client at the police station who has been arrested and charged with murder. The client tells the solicitor that she committed the crime but intends to plead not guilty. She instructs the solicitor to contact three friends who will provide her with an alibi to support her ‘not guilty’ plea.
Can the solicitor act on these instructions?
A
Yes, because the solicitor is under a duty to act in the client’s best interests.
B
No, because the solicitor is under a duty to uphold the rule of law and the proper administration of justice.
C
Yes, because the client is entitled to put forward any evidence to support her case and it is for the prosecution to prove their case against her.
D
No, because it is not the solicitor’s role to make these types of enquiries.
E
Yes, because it is the solicitor’s role to make these types of enquiries.

Answer 76

(B) A solicitor is under a duty to uphold the rule of law and proper administration of justice. If a person admits their guilt, then they are entitled to plead not guilty and put the prosecution to proof of its case, but they must not introduce any evidence or make statements in support of their plea as this would be misleading. Any solicitor complicit in these actions would also be held to be misleading the court in breach of their ethical duties. (A) is incorrect because whilst a solicitor is under a duty to act in their client’s best interests. this does not include supporting them in creating false evidence. When two or more principles conflict. the principle which safeguards the wider public interest (here, upholding the rule of law and proper administration of justice) takes precedence over an individual client’s interests. (C) is incorrect because false information must not be put before the court regardless of whether the information supports the client’s position. (D) and (E) are both incorrect; a solicitor can speak to third parties who might be able to support their client’s case, but the issue here is that the solicitor must ensure that this does not involve them in any act of misleading the court or putting false evidence before it.

Question 77

A client wishes to complain about the way in which a solicitor has dealt with their conveyancing transaction.
The client alleges that the solicitor has been negligent by being responsible for delays in completion, which resulted in extra expense for the client because they had to reorganise their removal company booking.
Where should the client send their complaint?
A
To the Legal Ombudsman.
B
To the Law Society.
C
To the firm of solicitors involved.
D
To the Solicitors Disciplinary Tribunal.
F
To the Solicitors Regulation Authority.

Answer 77

(C) The initial complaint should be to the solicitors. The client care letter originally sent to the client should have informed the client of their right to make a complaint to the firm. (A) is incorrect because the complaint must first be addressed by the firm. If the firm cannot resolve the complaint, then an approach to the Legal Ombudsman would be appropriate. (E) is incorrect. If the solicitor had broken any conduct rules, then the SRA would be the appropriate body. Simple negligence, with no other aggravating factor, would not be a breach of the conduct rules. (D) is similarly incorrect because the Solicitors Disciplinary Tribunal would only be involved if there was a serious breach of the conduct rules. (B) is incorrect because the Law Society does not regulate solicitors.