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SQE1 > Ethics and Professional Conduct > Flashcards

Ethics and Professional Conduct Flashcards

1
Q

If a conflict arises between the SRA (Mandatory) Principles, which would take precedence?

A

The principle that safeguards the public interest

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2
Q

Ways a solicitor can be found to be misleading others

A
  • Omission
  • Affirmative acts
  • Being complicit in omission or acts
  • Backdating letters
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3
Q

What is an undertaking?

A

A statement (oral or written) to someone who reasonably places reliance on it that you or a third party will do something

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4
Q

What are the potential consequences of breaching an undertaking?

A

Sanctions from a regulatory body or tribunal and court enforcing the undertaking (compensation) as the solicitor is personally bound to comply

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5
Q

Undertakings must be:
S
M
A
R
T

A

Specific
Measurable
Agreed
Realistic
Timed

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6
Q

What forms of witness compensation are allowed?

A
  • Travel costs
  • Loss of earnings
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7
Q

What forms of witness compensation are not allowed?

A
  • Dependant on nature or favourability of evidence
  • Contingent on a favourable case result
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8
Q

What cases or statutory provisions must you draw the court’s attention to?

A

Those which are likely to have a material effect on the outcome of the proceedings, regardless of which side would benefit

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9
Q

What must you do if you have reason to suspect the authorised person’s instructions are not those of the client?

A

Do not act unless you are satisfied they do

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10
Q

Why must a firm have an effective system in place for supervising client matters?
(Accountability)

A

You remain accountable for the work of those you supervise

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11
Q

What must you do if you receive financial benefit as a result of a client’s instructions?

A

Properly account it to the client unless agreed otherwise

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12
Q

What is the only form of client money that can be held on account?

A

Advance payments of fees and expenses

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13
Q

What should you do if you have an interest relating to client referral?

A

Inform the client

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14
Q

What should you do if there is a fee sharing agreement with a third party?

A

Inform the client and ensure the agreement is in writing

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15
Q

In which 2 proceedings are any referral fees prohibited?

A
  • Criminal proceedings
  • Claims for damages following personal injury or death
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16
Q

What must you ensure if carrying out reserved legal activities in a non-commercial body?

A

The indemnity insurance provides adequate and appropriate cover for all services provided

17
Q

How must a firm cease its operations?

Term

A

Orderly wind-down

18
Q

Who is responsible for ensuring a firm complies with SRA regulations?

A

Compliance Officer for Legal Practice (COLP)

19
Q

Who is responsible for ensuring a firm complies with SRA account rules?

A

Compliance Officer for Finance and Administration (COFA)

20
Q

The two types of conflict of interest

A
  • Own interest conflict (solicitor-client)
  • Client conflict (client-client)
21
Q

What should a solicitor do if they recognise a conflict or significant risk of one before the retainer is created?

A

Decline to act, can act only for the client whose interests they can best represent

22
Q

What should a solicitor do if they recognise a conflict or significant risk of one between two clients after the retainer is created?

A

Decline to act, or can act only for one while being wary of confidentiality risk

23
Q

Under which circumstance can you continue to act for a client who makes you a significant value gift in a will (own interest conflict)?

A

If you are satisfied the client has taken independent legal advice regarding making the gift

24
Q

What are the two exceptions that allow you to act for clients with conflict of interest?

A
  • Substantially comon interest (clear common purpose)
  • Competing for the same objective (e.g. trying to buy same asset)
25
Q

When working for two clients with potential conflict, what procedural conditions must be met?

A
  • Clients must initially give informed consent evidenced in writing
  • Effective safeguards to protect confidential information are put in place
  • You are satisfied it is reasonable to act
26
Q

In which cases can client confidentiality be breached?

A
  • Preventing criminal offence that will result in serious bodily harm
  • Preventing client’s suicide or serious self-harm
  • To protect a child or vulnerable adult
27
Q

Who owes duty of confidentiality?

A

Everyone in the firm

28
Q

What is Legal Professional Privilege (LPP)?

A
  • Protects confidential communications with clients relating to providing legal advice
  • LPP is absolute. Cannot be revealed even in court proceedings
29
Q

What is the difference between duty of confidentiality and LPP?

Term v term

A

Conduct duty v Concept of law

30
Q

What is the Duty of Disclosure?

A

Responsibility to make client aware of all information material to retainer that you are aware of

31
Q

What are the 4 exceptions to the duty of disclosure (to client)?

A
  • Client gives informed, written consent to nondisclosure
  • Disclosure would cause serious physical or mental injury
  • Prohibited by legal restrictions imposed in the interests of national security or crime prevention
  • The information is from privileged documents mistakenly disclosed to you
32
Q

What is the process of informing the SRA of a serious breach?

A
  • Inform COLP or COFA
  • If not satisfied CO agrees breach is serious enough, report to SRA
  • If CO not contactable, contact deputy if there is one. If not, report to SRA
33
Q

What additional pricing information should a client receive in a complex matter?

A

Likely overall cost

34
Q

How long does a firm have to resolve a client complaint before the client should go to LeO?

A

8 weeks

35
Q

What should a firm inform client if complaints procedure has been exhausted after eight weeks?

A
  • That they cannot settle compaint
  • Provide client name and website of alternative dispute resolution approved body which can deal with complaint
36
Q

How should client complaints be handled?

Characteristics of internal procedure

A
  • Promptly
  • Fairly
  • Free of charge
37
Q

What type of solicitor advertising is not allowed by SRA?

A

Intrusive and targeted

(Exception: advertising to current and former clients)

38
Q

What is being described?
It must involve a wider public policy reason, such as reducing unemployment in a particular age group, rather than a reason based only on business need

Within direct discrimination

A

Legitimate aim

Direct discrimination is permitted as regards age and disability as long as it is a proportionate means of achieving a legitimate aim

39
Q

What type of conflict is the ‘substantially common interest’ exception relevant for?

A

Conflict between clients

SQE1 (15 decks)

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