Brainscape's Knowledge GenomeTM

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


See full index

EPC > Ethics > Flashcards

Ethics Flashcards

1
Q

SRA Compliance Officers

A

All firms must appoint 2 COs: Compliance officer for legal practice (COLP) and officer for finance and administration (COFA). - Authorised for these roles by SRA, responsibilities set out by SRA code of Conduct for Firms
- Must report breaches of code of conduct to the SRA

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

SRA Code of Conduct for Firms

A
  • Standards expected of firms (including sole practices) authorised by SRA to provide legal services
  • Many are incorporated into code of conduct for firms (CoC for Solicitors and CoC for Firms = The Code of Conduct)
How well did you know this?
1
Not at all
2
3
4
5
Perfectly
2
Q

SRA Accounts Rules

A

Specific requirements placed on solicitors in financial matters (particularly when dealing with money belonging to clients or third parties)

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

Duties on Solicitors: Complaints

A

A solicitor must ensure (Paragraph 8.3) that clients are informed in writing at the time of engagement about:

(a) their right to complain about the solicitor’s services and charges;

(b) how complaints may be made and to whom; and

(c) any right they have to make a complaint to the Legal Ombudsman (see 1.5) and when they can make such complaint

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

What if complaints cannot be resolved in <8 weeks

A

When a client has made a complaint, if this has not been resolved to the client’s satisfaction within eight weeks following the making of a complaint, the solicitor must ensure (Paragraph 8.4) that the client is informed in writing:

(a) of any right they have to complain to the Legal Ombudsman, the timeframe for doing so

and full details of how to contact the Legal Ombudsman; and

(b) if a complaint has been brought and the complaints procedure has been exhausted:

(i) that the solicitor cannot settle the complaint;

(ii) the name and website address of an alternative dispute resolution (ADR) approved

body which would be competent to deal with the complaint; and

(iii) whether the solicitor agrees to use the scheme operated by that body

Clients’ complaints must be dealt with promptly, fairly and free of charge (Paragraph 8.5)

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

What kinds of complaints can legal ombudsman deal with?

A
  • Complaint can be any act / omission from solicitor and must relate to services provided
    • also accepts complaints in relation to services solicitor offered, provided, or refused to provide to the complainant
  • Need not be loss to the client
How well did you know this?
1
Not at all
2
3
4
5
Perfectly
6
Q

When can client bypass solicitor’s own complaints procedure and go straight to Legal Omb.?

A

(a) the complaint has not been resolved to the complainant’s satisfaction within eight weeks of being made to the solicitor; or

(b) the LeO considers that there are exceptional reasons to consider the complaint sooner, or without it having been made first to the solicitor; or

(c) the LeO considers that in-house resolution is not possible due to irretrievable breakdown in the relationship between the solicitor and the complainant.

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

What kinds of clients can complain to the Legal Ombudsman

A
  • Micro-enterprises (fewer than 10 staff, balance sheet / turnover no more than 2 million euro)
  • Charities
  • clubs and associations with an income of less than 1M pounds
  • personal representatives or beneficiaries of an estate
How well did you know this?
1
Not at all
2
3
4
5
Perfectly
8
Q

Timing of complaint to legal ombudsman

A

General rule: complaint should be brought no later than 1 year from act or omission or one year from when the complainant should reasonably have known there was cause for complaint
- but LO can extend time limits if they would like

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

When will the LeO hold a hearing to adjudicate a complaint

A

Hearings only done when LeO considers complaint cannot be determined fairly without one

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

Limits on the LO’s power to order a firm remedies a complaint with $

A

If LO orders the putting right of an error or additional action taken on their behalf this has a limit of 50k

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
11
Q

if a complainant accepts the determination of an LO, can they sue the Solicitor privately as well?

A

If complainant accepts the determination, it is binding and final (neither may start or continue legal proceedings in respect of it)
- BUT may be enforced in the HC or CC

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
12
Q

If a party rejects a determination from the LO - can they pursue other legal remedies or have they exhausted their options?

A

They are free to look elsewhere for remedies (ie. litigation)

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

When will the LeO refer a complaint matter to the court

A

If it considers a particular legal question which the LeO is not well equipped to answer

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

Does the LO need to inform the SRA at any point in their adjudication of a complaint?

A

Where the LeO receives a complaint which discloses any alleged professional misconduct on the part of the solicitor, it will inform the SRA.

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
15
Q

Potential penalties the SRA can impose on those who breach professional conduct rules:

A
  1. Take no further action with or without issuing advice or a warning about future conduct
  2. Impose a financial penalty or written rebuke
  3. Control how the solicitor practises
  4. Refer the matter to the Solicitor’s disciplinary tribunal
How well did you know this?
1
Not at all
2
3
4
5
Perfectly
16
Q

Are decisions of the SRA about professional misconduct confidential?

A

No they are made public

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

Role of the Solicitor’s Disciplinary Tribunal

A

The Solicitors Disciplinary Tribunal (SDT) hears and determines applications relating to allegations of unbefitting conduct and/or breaches of the requirements of professional conduct by a number of legal service providers, including solicitors.

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

When can someone apply directly to the SDT?

A

In all situations except those where SA 1974 mandates a prior complaint / application to the SRA

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

SDT decisions: what ar they called

A

SDT decisions are called ‘Judgements’ and ‘Orders’

  1. Order takes effect once filed with Law Society
  2. Written judgement with reasons (and repeating order) made available to (1) parties, (2) Law Society, and (3) SDT website after the hearing (usually within seven weeks)
How well did you know this?
1
Not at all
2
3
4
5
Perfectly
20
Q

Powers of the SDT for disciplining a solicitor

A

SDT has the power to make such orders as in its discretion it thinks fit, including: striking a solicitor off the role (or restoring them), suspending a solicitor from practice or imposing restrictions on their practice, imposing an unlimited find payable to HM treasury, reprimanding solicitor, requiring payment by any party of costs or a contribution towards costs

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

When appealing a decision of the SDT - where would the appeal be heard?

A

The administrative Court

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

Purpose of the SRA Compensation fund

A

Fund is maintained by the SRA, governed by the SRA Compensation Fund Rules and exists as a last resort to make grants to persons whose money has been stolen or otherwise not accounted for as a result of an act or omission of those regulated by the SRA and to relieve losses for which SRA authorised bodies should have insurance but do not

23
Q

How does an individual access the SRA Compensation Fund

A

Individuals may apply when they (as an individual or organisation) has suffered loss due to a defaulting practitioner’s dishonesty or whether they have suffered loss and hardship due to the practitioner’s failure to account for monies they have received

24
Q

Maximum the SRA Compensation Fund will pay out / limitations on accessing the fund

A
  • Will not pay out sums of more than 2m per claim (unless there are exceptional circumstances in the public interest that justify the sum)
  • For multiple related or connected claims, SRA may impose a cap of 5M on total account paid
  • The client may be asked to exhaust any legal remedy before applying to the Fund
25
Q

Breach of what SRA Principle will lead to the most severe sanction

A

(4) Honesty: solicitors must act with honesty

26
Q

Test for judging whether a solicitor acted ‘dishonestly’ in contravention to the SRA Principles

A

Ivey v Genting Casinos introduced a 2 stage test

  1. Individual’s actual belief or knowledge as to the facts
    a. Belief need not be objectively reasonable (but reasonableness or how other solicitors may have acted can indicate whether the belief was genuine)
  2. The objective standards of ordinary decent people (with regard to knowledge and belief at the time of the solicitor)
    a. No requirement that solicitor knew or understood that their behaviour was dishonest
27
Q

SRA Transparency Rules: Which services of covered (wrt individuals)

A
  • residential conveyancing,
  • uncontested probate (where all assets are within the UK),
  • motoring offences (summary only offences),
  • employment tribunals (claims for unfair or wrongful dismissal),
  • immigration (excluding asylum applications).
28
Q

SRA Transparency Rules: Which services of covered (wrt businesses)

A
  • debt recovery (up to £100,000),
  • employment tribunals (defending claims for unfair or wrongful dismissal),
  • licensing applications for business premises.u
29
Q

Purpose of the SRA Transparency Rules

A

Aim: ensure that consumers of legal services have accurate and relevant information about a solicitor or firm when they are considering purchasing legal services

30
Q

Information which must be given about costs (as mandated by the SRA Transparency Rules)

A

(a) the total cost of the service or, where this is not practicable, the average cost or range of costs, and details of any disbursements;
(b) the basis for the charges (including any hourly rate or fixed fees);
(c) what services are included within the displayed price and details of any services which might reasonably be expected to be included in the price but are not;
(d) the experience and qualifications of anyone carrying out the work (and their supervisors);
(e) whether VAT is payable on the fees or disbursements and, if so, if this is included in the price;
(f) typical timescales and the key stages of the matter;
(g) if conditional fee or damages- based agreements are used, the circumstances in which clients may have to make any payments themselves for the services received (including
from any damages).

31
Q

How do the SRA Transparency Rules apply to firms which do not have a website?

A

The information must be available on request

32
Q

Requirements of the SRA Transparency Rules:

A

certain services have to make set information about costs public - clearly accessible on the website

33
Q

Can a solicitor make an unsolicited approach to an individual for marketing purposes?

A

Paragraph 8.9 prohibits a solicitor from making unsolicited approaches to individual members of the public which, even if permitted by law, may feel unwelcome or intrusive.
- Exception: in respect of current or former clients because this is not ‘the general public’

34
Q

Restrictions on naming a firm something with ‘solicitors in the title

A

Cannot do so unless they are SRA Regulated

35
Q

Requirements to show SRA registration

A

General Rule: A body authorised by SRA must display on a prominent place its SRA number and ‘digital badge’, the website must also publish the firm’s complaints handling process, together with details about how to complain to the SRA and Legal Ombudsman, letter head and emails must also show SRA number and words ‘authorised and regulated by the SRA’

36
Q

Can a solicitor refer a client to a third party?

A

Generally yes - but in respect of such a referral the client must be informed of any financial or other interest which the solicitor, the solicitor’s business or employer has in referring the client to another person/ body (Paragraph 5.1(a)).

37
Q

Solicitor’s Clients obtained through an ‘introducer’: Restrictions

A

Any client referred to the solicitor by an introducer must not have been acquired in a way which would breach the SRA’s regulatory arrangements if the person acquiring the client were regulated by the SRA (ie. unsolicited approaches)

38
Q

What are fee sharing arrangements? How are these regulated by the SRA?

A

Fee- sharing would occur if a solicitor made a payment to a third party in respect of a percentage of the solicitor’s gross or net fees for a particular period. Clients must be informed of any fee- sharing arrangement that is relevant to their matter, and the fee- sharing agreement must be in writing (Paragraph 5.1(b) and (c)).

39
Q

When are referral fees prohibited by legislation

A

LASPO 2012: payment or receipt of referral fees in claims for damages following personal injury or death is prohibited, also payment for other claims for damages arising from the same circumstances are prohibited

40
Q

Can a solicitor act on instructions of someone that the client has authorised to act on their behalf?

A

Yes

41
Q

What must a solicitor do if they doubt that a client’s instructions reflect their wishes

A

The solicitor must not act unless they have satisfied themselves that they do
- if they are not satisfied they should decline to act

42
Q

What should a solicitor do if they suspect a client will make a claim of duress against them

A

Seek protection from the HC

43
Q

When are gifts ‘significant’

A

(1) Worth more than 1% of client’s current estimated net estate

(2) it might become valuable at some point, especially after client’s death

(3) Value of benefit too great to be justified by relationship

44
Q

Scenario where in a solicitor is going to receive a gift and the client has not taken independent legal advice - AND THE SOLICITOR CAN STILL ACT

A

If the solicitor is drafting wills for their own parents and survivor of them wishes to leave residual estate to the solicitor and their sibling in equal shares

45
Q

What must the solicitor due if instructions would place them in breach of the Code of Conduct for Solicitors?

A

Refuse to act

46
Q

How long to duties to the client (commenced) during the retainer last?

A

Some (confidentiality) last after retainer has been terminated

47
Q

Duty of reasonable care and skill

A

In addition to the solicitor’s duty of care in common law, s 13 Supply of Goods and Services Act 1982 provides that a supplier of services will carry out those services with reasonable care and skill. This term is implied into the retainer between a solicitor and the client, and therefore the solicitor may be sued for a breach of contract if the term is breached.

48
Q

Exceptions to the duty to provide legal services with reasonable care and skill

A

this implied term does not apply to advocacy services provided before a court, tribunal, inquiry or arbitrator (Supply of Services (Exclusion of Implied Terms) Order 1982 (SI 1982/ 1771), art 2).

49
Q

Presumption of Undue Influence in Solicitor Client Relationship

A

This means that in any dealings between a solicitor and the client, there will be a rebuttable presumption that the solicitor has exercised undue influence in persuading the client to enter into that dealing. In order to rebut this presumption, the solicitor would need to show that such influence had not been exercised, for example by making a full disclosure of all relevant facts, ensuring that the client took independent legal advice and understood the transaction, and ensuring that all dealings were fair and at arm’s length.

50
Q

How can a retainer be terminated?

A

As with any contractual relationship, the retainer may be terminated by either party, or by the general law.

51
Q

If a client terminates the retainer are they liable to pay outstanding costs?

A
  • For any time for any reason, but client may be liable to pay fees for work done up until that point
  • Solicitor may require these fees paid before forwarding client their file
52
Q

Reasons a solicitor could terminate a retainer?

A

(A) complying with the client’s instructions would involve the solicitor in a breach of the law or the requirements of professional conduct;
(B) the solicitor cannot obtain proper instructions from the client;
(C) there has been a breakdown in confidence within the relationship between the solicitor and client (eg the client is not willing to accept the advice of the solicitor).

53
Q

When would a retainer terminate by law?

A
  1. Where solicitor is declared bankrupt and is practicing as a sole practitioner (if not, would go to other parties)
  2. If either party loses mental capacity after retainer has commecned
54
Q

Responsibilities of the Solicitor on termination

A
  • Solicitor should confirm termination in writing
  • Explain clients possible options for pursuing matter and take steps to deal with any property of the client which may be held by the solicitor (ie. client money)
  • May be good to retain copy of file if passing on to another firm of solicitors (in accordance with DPA 2018)
    • To defend themselves from future claims of negligence
55
Q

Potential Outcomes a Solicitor must discuss with their client with respect to costs:

A

Solicitor must discuss potential outcomes, and whether they justify risk which includes:

  • paying someone else’s legal fees (all or a portion)
  • Whether this will be covered by legal expenses insurance
  • Whether they (even if they win) are still liable to pay own solicitor’s cost
    • the amount that the losing party in litigation has to pay to the winning party will be assessed by the court or subject to the fixed recoverable costs regime, and it is unlikely to cover the entirety of the winning client’s legal costs. The
      client must know the circumstances in which they will be responsible for the shortfall.
    • May also be liable if losing party cannot make cost order
    This must be done prior to entering litigious proceedings
56
Q

Different ways a solicitor may charge a client

A
  1. Hourly Rate
  2. Fixed Fees
  3. Variable Fee (varies according to outcome)

EPC (2 decks)

Brainscape helps you reach your goals faster, through stronger study habits.
© 2025 Bold Learning Solutions. Terms and Conditions