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Ethics & Professional Conduct > Ethics & Professional Conduct > Flashcards

Ethics & Professional Conduct Flashcards

1
Q

What are the specific requirements when handling a client’s complaint? (4)

A

Para 8.2 - Solicitors must establish, maintain and participate in a procedure for handling complaints in relation to the legal services they provide.

Para 8.3 - Clients must be informed in writing about their right to complain, how and to who and any right they have to complain to the Legal Ombudsman

Para 8.4 - The complaint must be resolved within 8 weeks.

Para 8.5 - The complaint must be dealt with free of charge and promptly.

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2
Q

What is the time frame for a complaint to be brought to the Legal Ombudsman?

A

No later than a year from the act/omission

OR

One year from when the complainant should reasonably have known there was a cause for complaint.

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3
Q

What must a solicitor do if their client notifies them of their intention to make a claim of negligence against them?

A

The solicitor should consider if a conflict has arisen and ask the client to seek independent legal advice.

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4
Q

What are the SRA principles?

A
  1. To uphold the rule of law and the administration of justice.
  2. To uphold public trust in the profession and in legal services provided by the authorised person.
  3. To act independently.
  4. To act with honesty.
  5. To act with integrity.
  6. In a way which encourages equality, diversity and inclusion.
  7. To act in the best interests of each client.
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5
Q

What are the SRA Transparency Rules?

A

To make sure that consumers of legal services have the relevant and accurate information about a solicitor or firm when considering purchasing legal services.

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6
Q

What is the general rule about unsolicited approaches in respect of advertising?

A

Paragraph 8.9 prohibits unsolicited approaches to members of the public via phone or other means.

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7
Q

What are exceptions to unsolicited approaches?

A

Former and current clients (provided GDPR rules are followed)

Newspaper and TV adverts as they do not target individuals

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8
Q

What are the solicitors obligations if they wish to enter into third party arrangements?

A

They must comply with the Principles and Code of Conduct.

The solicitor must act with independence, in the best interests (with capacity) and make each client aware in writing.

When referring out work, the solicitor must trust the other party and ensure the client’s best interests are considered.

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9
Q

When can a referral fee NOT be accepted?

A

Clients who are subject to criminal proceedings

Claims involving personal injury or death

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10
Q

What is a retainer?

A

The contract made between a solicitor and a client.

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11
Q

What are the solicitor’s obligations to the client in respect of the retainer?

A

Ensure the client understands the terms.

Ensuring the correct scope of work and confirming this in the client care letter.

Confirm the client’s identity - are they acting for an individual or a company?

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12
Q

What are solicitor’s obligations in respect of third party instructions?

A

Para 3.1 - A solicitor should only take instructions from the client or those properly authorised by them.

A solicitor should be satisfied that any individual has the proper authorisation.

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13
Q

When may a solicitor refuse to act? (4)

A

When there are concerns over duress, undue influence or the vulnerability of the client

When the duty to act in the best interests of the client conflicts with capacity

The client is gifting the solicitor or their family.

Conflicts of interests

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14
Q

What duties do solicitors have to the client during the retainer?

A

Duty of reasonable care and skill

Duty to act in the client’s best interests

Duty to not take advantage

Duty of confidentiality

Duty to provide cost estimates and keep the client updated to allow them to make informed decisions

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15
Q

What is a lien?

A

A legal right that allows a creditor to retain a debtor’s property.

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16
Q

How should costs be communicated to the client? (3)

A

Quote/estimate should be given at the start of the matter

The solicitor should regularly revisit costs so the client can make informed decisions

Always include VAT

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17
Q

What should be contained in a client care letter? (5)

A

Para 8.7 - Must receive best possible information about costs of the matter

Para 8.10 and 8.11 - The client must understand how the services are regulated.

Para 5.1(b) - The client should be aware of any fee-sharing arrangements

Be told of the firm’s complaint policy

Be told of their right to complain to the Legal Ombudsman

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18
Q

What options are available for solicitor’s fees?

A

Hourly fees

Fixed fee

Variable fee (CFAs)

Shares

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19
Q

What formalities are required in respect of a solicitor’s bill?

A

Must contain enough information so the client is satisfied the bill is reasonable

The period which the bill relates to

Must be signed by the solicitor or letter provided is signed by solicitor

Delivered by hand, by post or email if the client has agreed to that method

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20
Q

What interest can a solicitor charge on an unpaid bill?

A

For non-contentious work - one month after delivery, 8%

For contentious work - only if it is expressly agreed in the retainer and at what amount

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21
Q

How can a client challenge a bill?

A

Assessment by the court

The firm’s complaint procedure

22
Q

What is the process for commission?

A

A solicitor must not make a secret profit. Where commission is paid, a solicitor can:

  • Pay it to the client
  • Offset it against fees
  • Keep it if the client agrees
23
Q

When can a solicitor disclose confidential information?

A

Only with the client’s consent for necessary disclosure

Statutory requirements

Court orders

Notice from Legal Ombudsman

24
Q

What factors may the SRA consider when dealing with a breach?

A

When a client indicates they intend to commit suicide or self-harm

Preventing harm to children

Preventing the commission of a criminal offence

25
Q

What is the general rule for disclosure?

A

Solicitors must make clients aware of all information material to the matter.

26
Q

What are the exceptions to the general rule of disclosure?

A

National security or the prevention of crime

Client gives informed consent

Serious or mental injury will be caused to the client or another if the information is disclosed

The information is in a privileged document

27
Q

When should a solicitor refuse to act when taking on a new client where there is potential for a conflict with a current/former client?

A

Para 6.5 - Where the client has an adverse interest to the interest of a current or former client for whom confidential information which is material to that matter is held.

28
Q

What are the exceptions to the rule where adverse interests exist for current or former clients?

A

Effective measures have been taken to safeguard information

AND

The client has provided informed consent

AND

It is reasonable to act for both

29
Q

What is legal professional privilege?

A

Information passed between a solicitor and a client

This only applies when they are working in the capacity of a solicitor.

30
Q

When can a solicitor act for two or more clients on the same matter?

A

When they have a substantially common interest (a clear purpose of how something should be achieved)

They are competing for the same objective (asset, contract or business opportunity) by way of liquidification, auction, bid BUT not a public takeover

31
Q

What is an ‘own interest’ conflict?

A

A conflict between the duty to act in the best interests for the client where there is a risk, or significant chance of a risk, that it may conflict with the solicitor’s own interests

32
Q

When can a solicitor act in an ‘own interest’ conflict?

A

Never.

33
Q

What is a limited retainer?

A

A retainer which restricts the solicitor to act in areas where no conflict exists.

34
Q

What is an undertaking?

A

An enforceable promise to someone who places reliance on it where a solicitor or third party will do something or refrain from doing something.

35
Q

What timescales apply with undertakings?

A

The solicitor must agree to a timescale or, where no timescale is agreed, within a reasonable amount of time.

36
Q

What happens with a breach of undertaking from a solicitor?

A

The solicitor may be sued personally by the recipient.

They may also be disciplined by the SRA or SLT.

37
Q

What happens if a firm breaches an undertaking?

A

The breach of professional conduct is by the solicitor and the partners of the firm.

38
Q

What happens if an act is outside of the solicitor’s control?

A

If an undertaking is reliant on a third party action, this does not discharge the solicitor’s obligation to perform.

39
Q

Can an undertaking be given on behalf of a client?

A

Yes, provided the solicitor has clear and express authority from the client.

It will still remain enforceable against the solicitor giving the undertaking (and firm where applicable)

40
Q

What should a solicitor do if the circumstances of the undertaking change?

A

The recipient must agree to vary or discharge the current obligation.

41
Q

Who can enforce an undertaking?

A

The courts

SRA cannot enforce but they can impose disciplinary sanctions

42
Q

What duties does a solicitor have to the court?

A

They should not mislead the court

They cannot influence evidence of a witness

They must draw the court’s attention to cases, statutes or procedural irregularities which might have an effect on the case being heard

43
Q

What duties does a solicitor have when instructing counsel?

A

Not to discriminate on protected characteristics

Provide supporting documents in plenty of time

To pay any fees

44
Q

What duties does a solicitor have with third parties? (5)

A

Not to take unfair advantage if they are unrepresented

Provide references in respect of employment

Not send offensive communications

To provide a duty of care to beneficiaries of an estate

Meeting agent costs where applicable

45
Q

When must a solicitor notify the SRA?

A

When they are subject to a criminal charge, conviction or caution

They are made bankrupt or enters an IVA

Made aware of any material change in information about them or their practice

Becomes aware that the information provided to the SRA is false, misleading, incomplete or inaccurate

46
Q

What breaches should a solicitor report to the SRA?

A

Serious breaches such as violent or sexual misconduct, criminal behaviour, abuse of trust

Deliberate or dishonest behaviour

Taking advantage of vulnerable parties

47
Q

Who should a solicitor first report any misconduct to?

A

Internal compliance officers

48
Q

Who is responsible for a firm’s compliance with the Code of Conduct?

A

Managers, which includes:
- Sole practitioners
- Partners
- Director
- Member of LLPs

49
Q

What are the two types of compliance officer?

A

Compliance Officer for Legal Practice

Compliance Officer for Finance and Administration

50
Q

What does a Compliance Officer for Legal Practice do?

A

Ensures systems and controls are in place to enable the firm and those within it to comply with SRA Standards and Regulations

51
Q

What does a Compliance Officer for Finance and Administration do?

A

Ethics & Professional Conduct (1 decks)

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