Ethics 2: Service competence and client money

Question 1

When might you breach duty of acting for a client?

Answer 1

If you have reason to suspect that authorised person’s instruction do not represent your clients wishes
- then should not act unless you are satisfied that they do
- have duty to investigate

LOOK OUT FOR
- child of elderly client gives instruction that you suspect is for their own interest

Question 2

Can a solicitor take instruction from just husband on conveyancing of house jointly owned by house?

Answer 2

Can agree with all clients to take instruction from one as the matter progresses

But be sure at the outset of matter and before retainer is created that co-owning wife wants to sell the house and what to instruct the firm

Question 3

What should a solicitor do if the clients instructions cannot be ascertained?

Answer 3

if you still have legal authority to act for client despite this your overriding obligation is to protect your clients interest.

Question 4

What are the solicitors obligation regarding their service?

Answer 4

That
- service is delivered in timely manner
- you maintain you competence to carry out service

For example
- if very busy should not take on new case

Question 5

How must service be customised for clients?

Answer 5

must consider and take account of each clients
- attributes
- needs; and
- circumstances

May include:
- providing updated by phone to illiterate clients (as well as by email or post)
- client purchasing first home may need more information compared to sophisticated client

Question 6

What are a solicitors management responsibilities?

Answer 6

Supervision
- managers or supervisors must remain accountable for work carried out through them and
- effectively supervise work being done for client
- firms must have an effective system in place for supervising client matters

Training and Guidance
- must ensure that individuals you manage are competent to carry out their roe and they keep their profession knowledge, skills, ethical and legal obligations up to date
- firms have same obligation towards all employees

Question 7

Can solicitors/firms financially benefit as result of clients instructions?

Answer 7

Must properly account to client for financial benefit unless the client has already agreed otherwise.

Question 8

What are solicitor/firms duty towards client money and assets?

Answer 8

Must safeguard them
- for example not lose title deeds