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APC Ethics and Manditory (quick Legislation) > Ethics and Manditory > Flashcards

Ethics and Manditory Flashcards

1
Q

RICS Rules of conduct - published and effective dates?

A

Published - October 2021
Effective - 2nd February 2022

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2
Q

Social media RICS Guidence

A

Use of social media: Guidance for RICS members 2021.

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3
Q

RICS H&S guidence (professional standard) and published date?

A

Surveying Safely 2nd edition - published Feb 2024

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4
Q

RICS guidance on measuring? Published date?

A

Code of Measuring Practice, 6th edition.
Published May 2015

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5
Q

Example of a RICS practice alert? Published date? Contained which new legislation…?

A

‘RICS practice alert - UK property’ published February 2023. Contains requirement for fire risk assessments and fire management plans after the Fire Safety Act 2021 came into effect in January 2023.

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6
Q

Act regulating protection of individuals data?

A

Data Protection Act 2018

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7
Q

Act outlining timescales in which action can be undertaken for breaches in law or negligence claims raised?

A

Limitation Act 1980

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8
Q

The 15 year extension long- stop to negligence claims. Where does this come from?

A

S15a of the Limitations Act 1980

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9
Q

Where can you find guidance on RICS
Disciplinary procedure ? X2

A

Regulatory decision-making, 2022
Regulatory tribunal rules, 2022 

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10
Q

RICS guidance on professional indemnity insurance?

A

RICS practice information - risk, liability and insurance, 2021

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11
Q

RICS guidance relating to client money handling?

A

RICS Professional Standard: Client Money Handling, 2019

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12
Q

The act regulating bribery?

A

Bribery Act, 2010

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13
Q

Name of RICS guidance on bribery?

A

RICS Professional Statement: Countering Bribery and Corruption, Money Laundering and Terrorist Financing, 2019.

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14
Q

What UK act governs money laundering?

A

Money Laundering, Terrorist Financing and Transfer of Funds regulations 2017

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15
Q

The act regulating CDM?

A

Construction, Design and Management Regulations 2015

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16
Q

What is the key UK health and safety legislation?

A

Health and Safety at Work Act 1974 (as amended 1995 and 1999)

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17
Q

What is the RICS guidance on health and safety and effective date?

A

RICS Professional Standard: Surveying Safely, 2nd edition - effective Feb 2019.

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18
Q

What are the UK regulations for PPE?

A

PPE at Work Regulations 2022.

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19
Q

What is the act concerning the liability of occupiers or trespasses on land?

A

Occupies liability act 1984 (replaces the 1957 act and extended it to include trespasses)

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20
Q

What are the regulations for recording health and safety incidences?

A

Reports of injuries, diseases and dangerous occurrences regulations 2013.

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21
Q

What is COSHH?

A

Control of substances hazardous to health regulations 2002.

22
Q

Where would you find RICS guidance on conflict of interest?

A

RICS Professional (Standard): conflict of interest 2017.

23
Q

Where would you find RICS guidance on complaints handling?

A

RICS guidance note: complaints handling 2016.

24
Q

What regulations regulate arbitration?

A

The arbitration act 1996

25
Q

Where would you find RICS guidance on acting as an arbitrator?

A

Survey is acting as arbitrators in commercial property rent reviews, 9th edition

26
Q

Where would you find RICS guidance on independent expert determination?

A

Surveyors acting as independent experts in commercial property rent review disputes, 9th edition.

27
Q

Where would you find RSCS guidance on expert witnesses?

A

Survey is acting as expert witnesses, fourth edition.

28
Q

What act regulates diversity and inclusion within the workplace?

A

Equality act 2010

29
Q

What is the UK act that sets out a mission reduction targets?

A

Climate change act 2008

30
Q

Who regulated bribery?

A

The Serious Fraud Office

31
Q

What is the punishment for bribery?

A

Individual = 10 years prison or unlimited fine.
Company = unlimited fine.

32
Q

What is the punishment for money laundering?

A

Assisting = 14 years in prison and unlimited fine.
Tipping off/informing someone they are under suspicion = 5 years.

33
Q

Anti-money laundering – what are the three levels are due diligence?

A

1- Simplified due diligence.
2-regular customer due diligence.
3- enhanced due diligence

34
Q

What anti-money laundering checks do you undertake on individuals?

A

ID verification and checks against any previous addresses, employment and income.

Using passport, bank statement, council tax statement, utility bill

35
Q

What are the red flags of anti-money laundering?

A

Unwillingness to provide ID.
Changes to parties during transaction.
Payment of fees in foreign currency.
Unusual features E.G.urgency, possible lossmaking.

36
Q

What are the penalties if you breach CDM regulations?

A

Criminal offence.
Health and safety executive - can prosecute, issue fines or give ‘improvement notices’ or ‘ prohibition notices’

37
Q

What are the six things you should consider when appointing a contractor?

A

Public liability insurance.
Employers liability insurance.
Health and safety policy.
Construction phase plan.
Example of risk assessments.
Professional qualifications certificates, e.g. HETAS

38
Q

What key legislation relates to data protection in the UK?

A

The data protection act 2018.
UK GDPR

39
Q

Who does data protection act 2018 apply to?

A

Data controllers.
Data processors.

40
Q

Who is responsible for regulating data protection in the UK?

A

Information commissioners office (ICO)

41
Q

What happens if there is a date of breach?

A

Must report to ICO within 72 hours.

42
Q

What are the penalties of a data breach?

A

Fines of
a) 4% of global annual turnover, or b) £17.5 million - whichever is greater.

43
Q

What does UK GDPR stand for?

A

UK general data protection regulations

44
Q

Who regulates surveying profession within the RICS? Who deals with disciplinary procedures?

A

Standards and regulatory board

45
Q

What are the three levels of the RICS disciplinary procedure?

A

1 - action by head of regulation
2 - disciplinary panel
3 - appeal panel

46
Q

What uninsured excess is required for PII by the RICS?

A

Depends on turnover:

Up to £10 million turnover in previous years - 2.5% or £10,000, whichever is greater.

Over £10 million turnover in previous year - no limit.

47
Q

How much run-off cover is required by the RICS?

A

Minimum £1 million of aggregate cover for a minimum of six years.

For commercial claims, there is no limit (firm must consider what is adequate and appropriate) must be held for six years.

48
Q

What is the legislation for asbestos?
Penalties?

A

Control of Asbestos Regulations 2012
£20,000 or 6-12 months prison.

49
Q

What is the legislation regulating EICR?

A

Electrical Safety Standards (private rented sector) Eng. regulations 2020

50
Q

What legislation regulates TDS?

A

Housing Act 2004

51
Q

What legislation regulates EPC is in the UK?
Penalties?

A

Energy efficiency (private property) Wells regulations 2015.

Domestic - £200
Commercial - 12.5% of rateable value (min £500 to max £5000)

APC Ethics and Manditory (quick Legislation) (2 decks)

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