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APC > Ethics > Flashcards

Ethics Flashcards

1
Q

When was the RICS founded and when was it granted its Royal Charter?

A

1868

Granted Royal Charter by Privy Council in 1881

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2
Q

How many people are part of the RICS?

A

Over 140,000

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3
Q

What are the four levels of membership?

A
  1. FRICS
  2. MRICS
  3. AssocRICS
  4. Trainee / Student
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4
Q

What is the governance structure of the RICS?

A

Governing Council - provides management and strategic directions

Standards & Regulation Board and Management Board report to Governing Council

17 Specialist Professional Groups - outline standards of competence / practice.

CEO = Justin Young

President = Tina Paillet

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5
Q

What is Tina Paillets policy?

A

To build on the future foundations:

  1. Enhance member value / engagement
  2. Attract a diverse next generation
  3. Strengthen trust in the profession
  4. Lead / Influence on sustainability

particular focus on sustainability

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6
Q

How do you become a fellow of the RICS?

A

Evidence of achievement of FOUR fellowship characteristics:

  1. 5+ years at MRICS
  2. Leadership role
  3. Professional / technical achievement
  4. Academic achievement
  5. Raising profile of RICS

+ a portfolio of professional achievement is required to support application

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7
Q

What is the role of the RICS?

A
  1. Maintain highest standards of education and training
  2. Protect consumers through strict regulation of professional standards
  3. To be the leading source of information and independent advice on land / property / construction / associated environmental issues.
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8
Q

What was the aim of the Bichard review?

A

Built upon Levitt Review (2021)

  1. Clarify purpose of RICS
    2.Make recommendations on governing structure
  2. Provide proposals for incoming leadership on future culture / strategy
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9
Q

When was the Bichard Review published? What were the outcomes?

A
  1. Published June 2022
  2. RICS has agreed to adopt all the Bichard recommendations
  3. Changes are ongoing
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10
Q

What has the RICS adopted as part of the Bichard Review (2022)?

A
  1. Recruited new Management Board and Standards and Regulation Board.
  2. Held elections for key RICS committees and groups
  3. Recruited new Diversity / Equality / Inclusion / Sustainability Panel Chairs
  4. Introduced new package of support.
  5. Published 5 foundations in November 2023.
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11
Q

What are the 7 key areas of the Bichard Review?

A
  1. Focus on public interest remit.
  2. Greater independence for regulatory functions
  3. Increased focus on D&I
  4. Increased member engagement.
  5. Reviewing RICS governance every 5 years.
  6. New, clear, governance structure.
  7. Greater leadership on sustainability / climate change.
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12
Q

What are the 5 RICS future foundations?

A
  1. Vision
  2. Mission
  3. Strategic Goals
  4. Values
  5. A world class organisation
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13
Q

What is a responsible principal?

A
  1. Must ensure all reasonable steps are taken and systems are in place to comply with RICS / Regulatory requirements.
  2. Reports to RICS as required
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14
Q

What must firms undertake annually?

A

Annual return to RICS confirming their compliance with obligations

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15
Q

When must a firm apply for regulation and when can they?

A

Must: 50% of principals are RICS members

Can: 25% of principals are RICS members.

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16
Q

What is a principal?

A

Sole Practitioner / Director / Partner / Board member

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17
Q

What information is required by the RICS for registration?

A
  1. Type of business
  2. Staffing details
  3. Name of Responsible Principal
  4. Statutory Regulated Activities
  5. Nature of clients
  6. Complaints Handling Procedure details and records
  7. Professional Indemnity insurance details
  8. Whether firm holds client money
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18
Q

When were the new rules of conduct published and when did they become effective?

A

Published: Oct 2021
Effective: Feb 2022

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19
Q

What are the 5 rules of conduct?

A

RULE 1:

Members and Firms must be honest, act with integrity and comply with their professional obligations, including obligations to RICS

RULE 2:

Members and Firms must maintain their professional competency and ensure that services are provided by competent individuals who have the necessary expertise.

RULE 3:

Members and firms must provide good-quality and diligent service

RULE 4:

Members and firms must treat others with respect and encourage diversity and inclusion.

RULE 5:

Members and firms must act in the public interest, take responsibility for their actions and act to prevent harm and maintain public confidence in their profession.

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20
Q

What are some of the mandatory obligations set out in Appendix A of the Rules of Conduct (2021)?

A

RICS MEMBERS:
1. Comply with CPD requirements

MEMBERS & FIRMS:
1. Co-operate with RICS
2. Provide all info requested by SARB

FIRMS:
1. Publish CHP with RICS approved ADR provider and maintain complaints log.
2. Ensure appropriate RICS approved PII
3. If Sole Principal - make appropriate arrangements for work to continue
4. Display designation that they are regulated by RICS
5. Report to RICS any matter they are required to under Rules for the Registration of Firms.

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21
Q

If you’re unsure of a decision what can you do?

A
  1. Check Ethics Decision Tree
  2. Decline instruction
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22
Q

What RICS documents set out the disciplinary process and the regulatory approach?

A
  1. RICS Regulatory Decision Making (2022)
  2. RICS Regulatory Tribunal Rules (2022)
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23
Q

What are the three levels of disciplinary action?

A
  1. Action by Head of Regulation
  2. Disciplinary Panel
  3. Appeal Panel
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24
Q

What four actions can a head of regulation initiate if they consider that disciplinary action is required?

A
  1. Serve Fixed Penalty Notice
  2. Make Regulatory Compliance Order
  3. Refer the matter to member of Regulatory Tribunal for consideration
  4. Refer the matter directly to Disciplinary Panel
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25
Q

What is a Regulatory Compliance Order? When is it used?

A
  1. Written document stating terms they must take / desist and agreement to pay fine.
  2. Used for low level breaches - i.e not undertaking appropriate CPD
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26
Q

When is Action by a disciplinary panel used? Can you appeal?

A
  1. More serious breaches of conduct
  2. Right of appeal at appeal panel
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27
Q

What penalties are available to a Regulatory Tribunal Disciplinary Panel?

A
  1. RCO
  2. Reprimand
  3. Fine
  4. Conditions upon future RICS registration
  5. Expulsion
  6. Publication of results
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28
Q

What RICS guidance is there on the use of social media?

A

Use of Social Media: Guidance for RICS members 2021

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29
Q

When is the RICS likely to investigate concerns about social media posts?

A

Must follow RICS Rules of Conduct on social media.

Will investigate where they involve:

  1. Discrimination
  2. Dishonesty
  3. Abusive / threatening behaviours
  4. Bullying
  5. Pattern of frequent concerning communications
  6. Ignoring previous warnings
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30
Q

What are the new RICS document names?

A
  1. Professional Standard - mandatory / best guidance
  2. Practice information - good practice / processes / insight
  3. Practice alerts - emerging areas of risk
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31
Q

What should fee’s be?

A

Market bases and agreed on an ad-hoc basis with client’s

Transparent

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32
Q

What should firms avoid during fee negotiations?

A
  1. Price fixing
  2. Aggressive fee cutting
  3. Collusion with competitors
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33
Q

What should you do if you are in receipt of or offering a referral fee?

A
  1. Consider in the context of Bribery Act 2010 and RICS Rules of Conduct
  2. Be transparent and state in Terms of Engagement
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34
Q

What would you do if your client wished you to lower your fee?

A
  1. Refer to RICS Ethics Decision Tree
  2. Vary proposed level of service
  3. Ensure that high standard of service is maintained
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35
Q

What must the terms of engagement include?

A

General:

  1. Clients agreement to proposed fee basis
  2. Copy of CPH available on request

Redbook Compliant Valuation:

  1. Identification & Status of Valuer
  2. Identification of Client & any other intended users.
  3. Asset to be valued
  4. Currency
  5. Format of report
  6. Basis of value
  7. Extent of investigation
  8. Assumptions / Special Assumptions
  9. Comment that may be subject to RICS compliance
  10. Valuation methodology
  11. Valuation date
  12. Nature & Source of information
  13. Restrictions for use / distribution / publication
  14. Confirmation of IVS compliance.
  15. Limitation on liability agreed.
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36
Q

What is a conflict of interest?

A
  1. Arises when members / firms independence & impartiality is threatened due to the existence of a conflict
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37
Q

What are the three types of conflict?

A
  1. Party conflict - same instruction for two parties.
  2. Own-interest conflict - personal interest.
  3. Confidential Information Conflict - work that is confidential between two parties.
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38
Q

When should surveyors seek informed consent?

A
  1. Only when all parties are best served by doing so.
  2. Must be given in writing if the surveyor is entirely transparent about all material factors.
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39
Q

What RICS guidance covers conflicts of interest?

A

RICS Global Professional Standard on Conflicts of Interest (2017)

States members must not advise / represent clients where doing so would involve a CoI or significant risk of CoI, other than where all those who are, or may be affected have provided their informed consent.

Informed consent must only be sought if it is in the best interest of all and not prohibited by law.

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40
Q

Say you have identified that there is a risk of a conflict when you receive an instruction. How would you proceed?

A

RICS Regulated Firm:

  1. Consider whether to avoid conflict and decline instruction.
  2. If proceeding - disclose nature of conflict and any other relevant factors and how firm intends to deal with the conflict.
  3. Ensure both parties can make their own decision (inform them to seek advice if needed).
  4. Request written confirmation from both clients of their informed consent.
  5. Set up proposed information barrier.

Network Rail:

  1. Inform line manager
  2. Raise on iEthics
  3. Line managers duty to manage conflict by removing from project / moving me to different team etc.
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41
Q

How would you set up an information barrier?

A
  1. Obtain written consent from client’s
  2. Must take reasonable steps to operate effective barrier.
  3. Barrier must prevent information passing between two parties
  4. Surveyors must be different and physically separated.
  5. Information regarding instruction should be securely stored
  6. Clear audit trail & compliance officer must oversee all actions
42
Q

What is dual agency?

A
  1. Where agent has contractual relationship with buyer and seller simultaneously
  2. Practice must not be undertaken by any RICS members
43
Q

Are agents allowed to have competing contractual relationships simultaneously with several buyers? (Multiple introductions)

A

Yes - as long as informed consent obtained and necessary information barriers in place.

44
Q

What RICS document sets out Complaints Handling Procedures?

A

RICS Guidance Note on Complaints Handling 2016

45
Q

When should details of CHP be issued to client?

A
  1. At the same time as the Terms of Business
46
Q

What must you do if you receive a complaint?

A
  1. Try and resolve - may be a misunderstanding
  2. Inform line manager
  3. Issue CHP details to complainant
  4. Notify PII insurers
47
Q

What are the standard minimum procedures for handling of a complaint?

A
  1. Details issued when complaint received
  2. Details of Complaints Handling Officer must be stated
  3. Complaint should be acknowledged within 7 days and investigated within 28 days.
  4. If not happy - second stage involves CHP using ADR mechanism such as RICS Dispute Resolution Service.
48
Q

What is a valid complaint?

A
  1. Made in writing by someone whom the firm owes a duty of care.
49
Q

When would the RICS become involved in a complaint?

A
  1. If a member fails to respond / prevents party from accessing ADR mechanism.
50
Q

What is the minimum number of CPD that needs to be undertaken annually?

A
  1. 20 hours
  2. 10 must be formal
  3. Members must maintain a relevant and current understanding of Rule of Conduct during a rolling 3 year period
  4. CPD must be logged on the RICS CPD Management System by 31st January every year.
51
Q

How do negligence claims arise?

A

When duty of care is breached and there is a loss

52
Q

What case law relates to negligence?

A

Yianni v Edwin Evans (1981) - Valuer had duty of care in tort to a mortgagee purchaser

Scullion v Bank of Scotland plc (2010) - Valuer had not duty of care for commercially astute borrower

Burgess v Lejonvarn (2020) - Duty of care when providing pro-bono services but no duty to advise / not liable for work they do not do.

53
Q

What legislation sets out the limitation periods for negligence?

A
  1. Limitation Act 1980
54
Q

What are the current limitation periods for negligence?

A

Tort - 6 years from loss

Contract - 6 years from date of negligent act / omission. 3 years from date of knowledge of loss with a long stop of 15 years

55
Q

How can you avoid negligent claims?

A
  1. Clear records / photos
  2. Ensure competence and understand objectives
  3. Confirm precise instructions in ToE
  4. Undertake work in line with relevant standards
  5. Undertake CPD
  6. Cap professional liability excess in ToE
56
Q

Is PII mandatory? If so, why?

A

Yes - All members must ensure that an adequate and appropriate level of insurance is in place.

All policies must be underwritten by an RICS approved insurer.

PII protects Surveyors / Clients / Third parties

57
Q

What are the minimum PII requirement thresholds?

A

Preceding year turnover / Minimum level of indemnity required for EACH claim

  • £100,000 / £250,000

£100,001-£200,000 / £500,000

£200,001+ / £1,000,000

58
Q

What are the maximum levels of uninsured excess required by RICS?

A

Preceding turnover / max uninsured excess

up to £10 mil / Greater of 2.5% of insured sum or £10k

Over £10 mil / no set limit

59
Q

Where can you find out details on PII requirements?

A
  1. Professional Indemnity Insurance Requirements (2022)
  2. Practice Information: Risk, liability and insurance (2021)
60
Q

Is PII required for pro-bono work?

A

Yes

61
Q

Does the PII form part of the RICS annual return?

A

Yes- certificate sent on annual basis as part of the annual return.

62
Q

What must a PII policy be?

A
  1. Fully retroactive
  2. Made on claims made basis (i.e claims are made during period of insurance regardless of when negligent at occurred).
  3. RICS also recommend firms cap their liability
63
Q

What is the adequate and appropriate run-off cover required following cessation of trading? What is available for firms that are unable to arrange cover

A

CONSUMER CLAIMS
1. Min £1,000,000 of aggregate cover
2. Over a period of 6 years

COMMERCIAL CLAIMS:
1. Firms must consider what is adequate / appropriate
2. For a minimum of 6 years

RICS Run-off pool is available for firms who are unable to obtain run-off cover.

64
Q

What does the RICS run for members facing claims for work carried out by an employer who has gone into administration?

A

Member Support Service
- Offers help / advice / support

65
Q

What is the Members Support Service (MMS)?

A

Service for members facing claims by employers who have gone into administration.

Offers help / advice / further support

66
Q

What service is available for members of the RICS who cannot arrange PII cover?

A

Assigned Risk Pool

67
Q

What is the RICS Assigned Risk Pool?

A
  1. Service available at cost for members who cannot arrange cover that meets RICS minimum standards.
68
Q

What are the six areas of good practice as set out in RICS Professional Standard ‘‘Client Money Handling’’ (2019)?

A
  1. Holding client money
  2. Providing information to clients
  3. Receipts of client money
  4. Payments from client accounts
  5. Accounting records and controls
  6. Compliance
69
Q

What is available for firms unable to repay client money?

A

Client’s Money Protection Scheme

70
Q

What is the RICS Client’s Money Protection Scheme?

A

Scheme available for claims from clients

Provides last resort protection in instances where an RICS Regulated firm is unable to repay a client’s money.

71
Q

What procedures must surveyors follow when handling client money?

A
  1. Client accounts kept separate and identifiable
  2. Word client on account
  3. Client must have money on demands
  4. Payment of interest to be agreed with client
  5. Accurate records kept w/ running balance
  6. Money can only be withdrawn if required
  7. Records must show all cash transactions
  8. Signatories must be agreed with two minimum
  9. Firms must display procedures document on their website.
  10. Annual audit / reporting obligations by RICS certified accountant must be met
72
Q

What RICS compliance must you undertake when starting a new practice?

A
  1. Inform RICS via Firm Details Form
  2. Appoint Responsible Principal for RICS communication
  3. Register with RICS for regulation
  4. Arrange PII and send details to RICS
  5. Set up procedures for Client Money Handling (incl. Protection Scheme)
  6. Register for RICS Valuer Registration Scheme if undertaking red book work
  7. Obtain RICS approval for CHP
  8. Set up complaints log
  9. Appoint Complaints handling officer
  10. Use RICS logo kit to comply with ‘‘Regulated by RICS’’ regulation
  11. Ensure CPD logged on RICS CPD Management System
  12. Plan for succession / future running if sole practitioner
  13. Set up a staff training plan
  14. Ensure completion of an online RICS Annual Return at the end of each year.
73
Q

What statutory compliance must you undertake when starting a new practice?

A
  1. Disclose business name
  2. Inform HMRC for VAT and Tax registration
  3. Asbestos Register
  4. Appoint Money Laundering Reporting Officer
  5. Insurance compliance
  6. Register for data protection

Compliance with:
Disability discrimination
Financial services
Bribery Act
Health & Safety
Employment law
Estate agency
Fire safety

74
Q

What steps must you undertake when closing an RICS practice?

A
  1. Inform insurers and obtain sufficient run-off cover in line with RICS requirements (min of 6 years)
  2. Inform RICS and de-register
  3. Return client moneys
  4. Inform clients
  5. Handover arrangements
  6. Retain a copy of client files / records for 6 years minimum.
75
Q

What is a bribe?

A

Giving / Offering / Promising / Receiving an advantage for an action which is illegal or a breach of trust

i.e payment / gift / service

76
Q

What are the six principles of the bribery act?

A
  1. Proportionality
  2. Top level commitment
  3. Risk assessment
  4. Due diligence
  5. Communication
  6. Monitoring and review
77
Q

What are the four offences under the Bribery Act 2010

A
  1. Bribing
  2. Receiving a bribe
  3. Bribing a foreign public official
  4. Failing to prevent bribery
78
Q

Who polices the bribery act?

A

Serious Fraud Office

79
Q

What penalties are there for Bribery?

A

Individuals:
Max 10 years imprisonment and/or unlimited fine

Companies:
Unlimited fine

80
Q

What are the key provisions of the Terrorist Financing and Transfer of Funds Regulations 2017?

A
  1. Requirement for written risk assessment
  2. Implement systems / policies / controls / procedures that meet regulation requirements
  3. Provide staff training
  4. Comply with CDD / EDD / SDD requirements
  5. Comply with PEP requirements
  6. Ensure appropriate record keeping / policies / procedures
  7. Undertake AML checks to confirm identity and source of funds prior to exchange
  8. Include high risk factors when assessing need for EDD
  9. Money Laundering Reporting Officer must be appointed to report Suspicious Activity Report to the National Crime Agency
  10. Firms must maintain records for minimum of 5 years.
  11. Firms must report discrepancies to Companies house
81
Q

What are an estate agents legal obligations from money laundering regulations?

A
  1. Register with HMRC if let / sell properties over 10,000 euros
  2. Individuals / business must be approved and register with HMRC in order to trade
  3. CDD checks undertaken on new sales / lettings above 10,000 euros
  4. EDD checks if red flags occur
  5. Firms must have policies to identify / scrutinise complex / unusual transactions
  6. Firms must provide training
82
Q

What is EDD?

A

Enhanced Due Diligence

  • Additional procedures required for transactions with red flags / involving PEP’s
  • Involve more detailed examination of background and purpose of transaction
  • Involves increased monitoring
83
Q

What are the requirements for Money Laundering Reporting Officers?

A
  1. Must report suspicions with a Suspicious Activity Report (SAR) to the National Crime Agency (NCA)
84
Q

What are the penalties for not complying with money laundering regulations?

A

Assisting:

14 years prison sentence and/or unlimited fine

Tipping Off / Failing to report:

5 years prison and/or unlimited fine

85
Q

What are the typical requirements for CDD money laundering checks of Public Limited Companies?

A

Listing on regulated market (i.e London Stock Exchange)

86
Q

What are the typical requirements for CDD money laundering checks of Public Accountable Bodies?

A

Government ownership / control

87
Q

What are the typical requirements for CDD money laundering checks of Private Limited Companies?

A

1.Certificate of incorporation
2. Full name
3. Registered number / registered office
4. Business address
5. Names of all directors
6. Names of all shareholders with more than 25% holding
7. Identification of a higher risk client

PS - Report any discrepancies to companies house

88
Q

What are the typical requirements for CDD money laundering checks of private individuals?

A
  1. Valid passport / driving licence with photo
  2. Copy of bank statement / credit card bill / council tax statement / utility bill (to show evidence of address, not more than 3 months old)
89
Q

Where can you find updates on financial sanctions against countries / companies / individuals?

A

HM Treasury OFSI

90
Q

What are potential red flags during a transaction?

A
  1. Inability / unwillingness to provide identity documents
  2. Changes to parties
  3. Unusual transaction features
  4. Payment in unusual currencies
91
Q

What are the three areas of offence under the Proceed of Crime Act (2002)

A
  1. Concealing criminal property
  2. Arrangements / facilitating
  3. Acquisition / use / possession
92
Q

What does the proceeds of crime act 2002 undertake?

A
  1. Provides powers for enforcement authorities to recover criminal assets / money
  2. Creates set of criminal offences to combat AML offences
93
Q

What are the main points of the economic crime act 2022?

A
  1. Includes measures for beneficial overseas ownership register
  2. Strengthens investigation powers into unexplained wealth orders (UWO’s)
  3. Allows easier prosecution for those sanctions-busting / not willing to provide identity documents
94
Q

What RICS Guidance is there in regards to bribery & money laundering? How is it set out?

A

RICS Professional Standard: Countering Bribery, Corruption, Money Laundering & terrorist financing 2019

  1. Mandatory Requirements
  2. Guidance for good practice
  3. Supplementary guidance
95
Q

What are the mandatory requirements of the RICS Professional Standard: Countering Briber, Corruption, Money Laundering & Terrorist Financing (2019)?

A
  1. Not be complicit in bribery / ML / TF
  2. Have systems / procedures in place
  3. Report suspicion
  4. Act with due diligence
  5. Evaluate risks
  6. Retain records
  7. Verify client by undertaking basic ID checks
  8. Take appropriate measures to understand the client and the purpose of the instruction
  9. Use third party reliance for checks only where there is a level of confidence in the quality of the information.
96
Q

What guidance does the RICS Professional Standard: Countering Bribery, Corruption, Money Laundering & Terrorist Financing (2019) include?

A
  1. Consider who / what why
  2. Guidance on dealing with PEP’s
  3. Have written policy in place
  4. Publish code of behaviour
  5. Provide staff training
  6. Encourage transparency
  7. Set up gifts register
  8. Keep up to date with legislation
97
Q

What does the RICS Guidance Note Surveying Safely 2019 set out? What is the structure?

A

Basic, good practice principals for H&S

  1. Personal responsibilities
  2. Assessing hazards / risks
  3. Workplace health & safety
  4. Occupational hygiene and health
  5. Visiting premises and sites
  6. Fire safety
  7. Residential property surveying
  8. Procurement / management of contractos
98
Q

What is the RICS document pertaining to asbestos? Is there any relevant legislation?

A

RICS Professional Standard: Asbestos (2021)

Control of Asbestos Regulations 2012

99
Q

What are the two types of Asbestos Survey?

A
  1. Management Survey - Locate / Assess / Advise on management
  2. Refurbishment / Demolition Survey:
    Samples take and analysed - management recommendations made
100
Q

What does RIDDOR stand for? What are the requirements?

A

Reporting of Injuries, Diseases and Dangerous Occurrences Regulations (2013)

Must report injuries over 7 days incapacitation (within 15 days of accident)

Employers must keep a record of all 3-day plus injuries.

Info must be kept in accident book which must be kept for a minimum of 3 years after injury

APC (21 decks)

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