Ethics & PC

Question 1

With regards to complaints, what must the client be informed about, in writing, at the time of engagement?

Answer 1

1. Their right to complaint
2. How complaints may be made and to whom
3. Any right they have to make a complaint to LeO and when they can make such a complaint

Question 2

When can a complaint be made to LeO?

Answer 2

If complaint cannot be settled to the client’s satisfaction through the firm’s procedure within 8 weeks

Can complain without using the firm’s procedure if:
1. Exceptional reasons to consider complaint sooner
2. LeO considers an in-house resolution is not possible due to irretrievable breakdown in the relationship

Question 3

What may the LeO direct a solicitor to do when dealing with a complaint?

Answer 3

1. Apologise
2. Pay compensation for any loss suffered or inconvenience caused
3. Ensure the putting right of any error/omission
4. Take (and pay for) any specified action in interests of complaint
5. Pay specified amount for costs of complainant in pursuing the complaint
6. Limit the solicitor’s fees

2, 3 and 4 are limited to £50,000

Question 4

What are the SRA Principles?

Answer 4

1. Uphold the constitutional principle of the rule of law and the proper administration of justice
2. Uphold public trust and confidence in the solicitors’ profession and in legal services provided by authorised persons
3. With independence
4. With honesty
5. With integrity
6. Encourage equality, diversity and inclusion
7. Act in the best interests of each client

Question 5

What are a solicitor’s responsibilities when terminating the retainer?

Answer 5

Must confirm in writing:
1. Retainer has been terminated
2. Explain the client’s possible options for pursuing the matter
3. Take steps to deal with any property that is held by the solicitor

Question 6

Outline the requirements for a solicitor’s bill

Answer 6

1. The bill must contain enough information that the client will find the bill reasonable
2. It must be signed by the solicitor/on their behalf
3. Must be delivered by hand to the client/by post to client’s home/business/last known address/email if agreed to this method

Question 7

What 3 ways can a solicitor account commission to their client?

Answer 7

1. Pay it to the client
2. Offset it against fees
3. Keep it where the client has agreed to this

Question 8

A solicitor must not place themselves in a position where relevant information could be disclosed to another client. What are the exceptions to this?

Answer 8

1. Effective measures have been taken which result in there being no real risk of disclosure
2. Current/former client whose information is held has given informed consent in writing

Question 9

Solicitor must not act in a matter if there is a conflict of interest. What are the exceptions to this?

Answer 9

1. Clients have a substantially common interest in relation to the matter/aspect of it
2. Clients are competing for the same objective

Question 10

What conditions must be met for a solicitor to be able to act for 2 or more clients when there is a conflict of interest?

Answer 10

1. All clients have given informed consent in writing
2. Effective safeguards are put in place to protect client’s confidential information
3. Solicitor is satisfied it is reasonable to act for all the clients