Ethics and Professional Conduct

Question 1

Regulators (3)

Answer 1

1. Solicitors Regulation Authority
2. Legal Services Board
3. Solicitors Disciplinary Tribunal

Question 2

Seven Mandatory Principles (7)

Answer 2

1. Upholds rule of law and proper administration of justice
2. Upholds public trust and confidence in the solicitor’s profession
3. Act with independence
4. Act with honesty
5. Act with integrity
6. Behave in a way that promotes DE&I
7. Must act in the best interest of each client

Question 3

Preventing discrimination against disable employees and clients (2)

Answer 3

1. Reasonable Adjustments depending on circumstance
2. Cannot pass costs to disabled person

Question 4

Undertaking

Answer 4

A statement (oral or in writing) that the person giving it, or a third party, will do something or refrain from doing something; which the person receiving the undertaking reasonably relies on

Question 5

Best practices for undertaking (4)

Answer 5

1. Undertaking should be in writing
2. Keep a record
3. Clear firm policy on who can give undertakings
4. “I will use my best endeavour…” to stop being bound

Question 6

Must not(s) for Court (3)

Answer 6

1. Influence witnesses or tamper with evidence
2. Offer any benefit to witness if dependent on nature of evidence or outcome of case
3. Waste the court’s time

Question 7

Must(s) for Court (2)

Answer 7

1. Comply with court orders
2. Draw court’s attention to relevant law

Question 8

Standards for service and competence (4)

Answer 8

1. Authority to Act
2. Competent and Timely Service
3. Tailored Service
4. Manage Responsibility

Question 9

Criteria for fee-sharing arrangements (2)

Answer 9

1. Must be in writing
2. Client must be informed

Question 10

Requirement to refer, recommend or introduce client to separate business

Answer 10

Informed Consent

Question 11

Own Interest Conflict

Answer 11

Between you and the client

Question 12

Conflict of Interest/Client Conflict

Answer 12

Between Clients

Question 13

Exceptions in client conflict where you can act (2)

Answer 13

1. Substantial Common Interest
2. Competing for the Same Objective

Question 14

Conditions for exceptions in client conflict (3)

Answer 14

1. Clients’ informed consent in writing
2. Safeguards to ensure confidentiality
3. Satisfied it is reasonable to act

Question 15

Confidential unless disclosure…(2)

Answer 15

1. Required or permitted by law
2. Client consents

Question 16

Privilege

Answer 16

Confidential communications only

Question 17

Confidentiality

Answer 17

All affairs of client

Question 18

Inform in writing (3)

Answer 18

1. Right to complain
2. Procedure for complaining within firm
3. Right to complain to LeO and when (after 8 weeks)

Question 19

Prohibited Advertising Approach

Answer 19

Targeted or Intrusive Way

Question 20

Exception to Prohibited Advertising Approach

Answer 20

Approaching existing or former clients