Ethics and Professional Conduct

Question 1

What are the 7 SRA principles

Answer 1

1. RoL and proper administration of justice
2. public trust and confidence in the solicitors’ profession
3. independence
4. honesty
5. integrity
6. encourages EDI
7. best interests of each client

Question 2

6. Conflict requirements

Answer 2

6.1 Dont act if there is an own interest conflict or a significant risk of such a conflict.
6.2 You do not act in relation to a matter or particular aspect of it if you have aconflict of interest or a significant risk of such a conflict in relation to that matter or aspect of it (current clients) UNLESS conditions satisfied

Question 3

6. Conflict: conditions to satisfy 6.2

Answer 3

a. clients have substantially common interest
b. clients are competing for the same objective, (aka. Commercial except(ion)
AND
1. clients have given informed consent in writing
2. where appropriate, put in place effective safeguards to protect confidential info
3. AND you are satisfied it is reasonable for you to act for all clients

Question 4

6: confidentiality and disclosure requirements

Answer 4

6.3 keep affairs of current/former clients confidential unless disclosure is required or permitted by law or the client consents.

6.4make client aware of all information material to the matter of which you have knowledge (with exceptions

6.5 Dont act for a client where they have an interest adverse to the interest of another current or former client of you or your business or employer, for whom you or your business or employer holds confidential information which is material to that matter (exceptions)

Question 5

6: when DONT you have to make a client aware of all info you have knowledge of?

Answer 5

1. Disclosure prohibited by legal restrictions imposed in interests of national security/prevention of crime
2. Client gives informed consent in writing
3. Reason to believe that serious physical or men injury will be caused to client/another if info is disclosed
4. info contained in a privileged document, mistakenly disclosed.

Question 6

6: when can you act for a client who has adverse interests under 6.5?

Answer 6

a. effective measures have been taken which result in the being no real risk of disclosure of the confidential information

b. current or former client whose information you or your business or employer holds has given informed consent, given or evidenced in writing to you acting, including to any measures taken to protect information.

Question 7

What can a firm do if a client refuses to pay

Answer 7

May exercise a lien over the clients property until the outstanding fees are paid

Question 8

Under the Code what are the requirements under 1: : Maintaining trust and acting fairly

Answer 8

1. Dont unfairly discriminate by allowing your personal views to affect your professional relationships
2. Dont abuse your position by taking unfair advantage of clients
3. Perform all undertakings within an agreed/reasonable time
4. Dont mislead/ attempt to mislead clients
5. Treat colleagues fairly and with respect.

Question 9

Code para 2: what are the requirements re evidence?

Answer 9

1. Dont misuse/tamper
2. Dont seek to influence the substance of evidence

Question 10

Code para 2: what are the requirements re witnesses?

Answer 10

Dont offer to provide any benefit to witnesses dependent upon the nature of their evidence

Question 11

Code para 2: what are the requirements re the court?

Answer 11

1. only make assertions that are properly arguable
2. dont place yourself in contempt of court
3. Dont waste the court’s time
4. Draw courts attention to law/procedural irregularities of which you are aware, and which are likely to have a material effect on the outcome of the proceedings

Question 12

Para 3: Requirements re taking instructions

Answer 12

Only on instructions from the client ,OR someone properly authorised to provide instructions on their behalf

Question 13

Para 3: requirements re service to clients

Answer 13

1. Ensure service is competent and delivered in a timely manner
2. maintain competence to carry out role and keep professional knowledge and skills up to date.
3. consider and take account of client’s attributes, needs and circumstances.

Question 14

Para 3: requirements when you supervise or manage others providing legal services?

Answer 14

1. remain accountable for the work carried out through them
2. effectively supervise work being done for clients

Question 15

Para 4: rules re client money?

Answer 15

1. properly account to clients for financial benefit received as a result of their instructions, unless agreed otherwise.
2. safeguard money and assets entrusted to you by clients and others
3. Don’t personally hold client money unless authorised

Question 16

Para 5: In regards to referral of client/3rd party who introduces business to yournd you share fees, what should you ensure?

Answer 16

1. clients informed of financial/other interest which you/your business/employer has in referring client or which an introducer has in referring the client to you
2. informed of any fee sharing arrangement
3. fee sharing agreement is in writing
4. NO referral/payments for criminal
5. only refer/recommend client/share clients business where client gives informed consent

Question 17

Para 8: requirements re client identification

Answer 17

You identify who you are acting for in relation to any matter.

Question 18

Para 8: requirements re complaints handling

Answer 18

1. Est/maintain/participate in procedure for handling complaints
2. ensure clients informed in writing at time of engagement of:
   right to complain
   how to complain
   right/how/when to complain to Legal Ombudsman
3. if client complaint not resolved in 8w, inform them how to complain to Legal Ombudsman
4. ensure that complaints are dealt with promptly, fairly, and free of charge.

Question 19

Para 8: how should you give clients information?

Answer 19

in a way they can understand

Question 20

Para 8: what information should you give clients re pricing?

Answer 20

Ensure that clients receive the best possible information about how their matter will be priced and, both at the time of engagement and when appropriate as their matter progresses,

Question 21

Para 8: requirements re publicity

Answer 21

1. ensure that any publicity in relation to your practice is accurate and not misleading
2. Dont make unsolicited approaches to members of the public, with the exception of current or former clients , in order to advertise legal services

Question 22

Para 8: requirements re regulation

Answer 22

1. You ensure clients understand whether and how the services you provide are regulated.
2. ensure clients understand the regulatory protections available to them.

Question 23

On the death of a client, who does confidentiality pass to?

Answer 23

PRs

Question 24

What is a ‘substantial’ gift?

Answer 24

• Over £500
• Over 1% net estate
• May become valuable at some point

Question 25

What types of compliance officer must every firm have?

Answer 25

1. A compliance officer for legal practice (COLP)
2. A compliance officer for finance and administration (COFA)

Question 26

For conflict, will the buyer and seller of a property have a ‘substantially common interest’ meaning the solicitor can act for both?

Answer 26

NO

Question 27

Conflict: Can you act for buyer and lender?

Answer 27

Yes BUT CANT as risk as conflict will be high if:
1. mortgage is not on standard terms
2. AND solicitor doesn’t use the approved certificate of title

Question 28

Timeframe for an undertaking to be completed

Answer 28

Within a reasonable time

Question 29

Meaning of ‘substantially common interest’

Answer 29

clear common purpose between the clients and a strong consensus on how that purpose is to be achieved

Question 30

Meaning of ‘competing for the same objective’

Answer 30

when two or more clients are competing for an “objective” which, if attained by one client, will make that “objective” unattainable to the other client or clients

Question 31

Who has the power to enforce an undertaking?

Answer 31

The Court