ETHICS AND PROFESSIONAL CONDUCT

Question 1

What are the 7 principles solicitor has to act?

Answer 1

• in a way upholding rule of law
• public trust and confidence
• with independence
• honesty
• dignity
• encouraging equality, diversity
• best interest of client

Question 2

What is reasonable adjustment for solicitor to support disabled

Answer 2

• access to premises
• sign language
• special equipment for employees

Question 3

Fee sharing agreement should be in written, or can be in oral?

Answer 3

Must be in written

Question 4

What is prohibited referral fee?

Answer 4

• Any referral fee or payment in claims of damages following personal injury or death.
• payments related to Criminal proceedings

Question 5

Is associated business can be referred to client?

Answer 5

Yes, informed consent required

Question 6

What are Reserved legal activities

Answer 6

• right of audience (appear in court, examine witnesses)
• Conduct litigation
• instruments related to real or personal estate
• Probate papers
• Notarial activities
• administration of oaths

Question 7

Essential duties of COLP

Answer 7

• prompt report of serious breach of SRA arrangements
• prompt report of matters to be investigated by SRA

Question 8

Essential duties of COFA

Answer 8

• compliance with SRA accounts rules
• breach report
  -prompt report of matters to be investigated by SRA

Question 9

If conflict of interests appears before retainer, can solicitor act?

Answer 9

must decline to act at all

Question 10

Can solicitor act in case of existence or high possibility of existence of Own interest conflict?

Answer 10

Must not act. Own interest - absolute ban

Question 10

If conflict of interests appears during retainer, what should solicitor do?

Answer 10

• inform clients
• can act for one of clients

Question 11

Can solicitor act if client ok with conflict of interests?

Answer 11

Must not act

Question 12

Can solicitor accept significant gift from client?

Answer 12

Yes, if client took independent legal advise re making a gift

Question 13

If there is own financial interest in client`s business, is there Own interest conflict?

Answer 13

Yes, unless own interest has no influence on decision making

Question 14

In case client want solicitor act against solicitor`s relative, can solicitor act?

Answer 14

Must decline to act

Question 15

If solicitor has business competitive to client`s, can solicitor act?

Answer 15

Must decline

Question 16

Name exceptions when solicitor can act when conflict between clients

Answer 16

• Substantially common interest (clear purpose and strong consensus - joint tenants, joint business(
• Competing for the same objective

Question 17

Name conditions when exceptions can apply to act for 2 clients in conflict

Answer 17

• Informed consent in writing
• effective safeguards in place to protect confidential information
• solicitor is satisfied it is reasonable to act (clients will benefit )

Question 18

Name conditions when duty of confidentiality may not be kept

Answer 18

• Disclosure required / permitted by law
• client consent

Question 19

Name situations when disclosure of client`s information is allowed

Answer 19

• client consents
  -client`s will disclosure
• solicitor is used for crime
• Statutory requirement (taxes)
• Statutory duty (AML)
• Court order or police warrant

Question 20

What Legal professional privilege?

Answer 20

Protects communication between client and solicitor for the purpose of obtaining legal advice. It is absolute and cannot be disclosed

Question 21

Who can punish solicitor for breach of confidentiality

Answer 21

SRA and SDT

Question 22

When solicitor is excerpt from obligation to disclose all information to client

Answer 22

• client`s consent in written
• cause of injury
• legal restrictions - security (AML)
• ## privileged documents obtained mistakenly

Question 23

What information related to solicitor the latest should communicate to SRA

Answer 23

• criminal charge, conviction, or caution
• insolvency
  -material changes to information

Question 24

What information related to firm the latest should communicate to SRA

Answer 24

• serious financial difficulty
• insolvency
• cease operating
• changes in information

Question 25

How and when client should be informed regarding right to complain

Answer 25

At the outset, in writing

Question 26

How many weeks is available to resolve issue before it goes to LeO

Answer 26

8 weeks