Key Principles

Question 1

If 2 principles come into conflict, the principle which safeguards the ______ _______ ________ takes precedence

Answer 1

wider public interest

Question 2

When must an undertaking be fulfilled if there’s no agreed timescale?

Answer 2

Within a reasonable time

Question 3

If a solicitor works at a company and has breached the SRA Standards and Regulations, is it a defence that the company ordered the solicitor to undertake the conduct that formed the basis of the breach?

Answer 3

No

Question 4

If a solicitor represents 2 people jointly, the client may direct the solicitor to take instruction from ____ ___ __ _____ and the solicitor may follow this provided they ensure that the other client agrees

Answer 4

only one of them

Question 5

If a person is holding a valid ________ __ ________ for a mentally incompetent client and they instruct the solicitor to execute a transaction, if the solicitor does not believe this instruction is in the _____ __________ of the mentally incompetent person, they should _______ the transaction

Answer 5

power of attorney, best interests, refuse

Question 6

A solicitor must _______ to a client if they receive a _________ ________ as a result of the client’s instruction unless the client has already agreed otherwise

Answer 6

account, financial benefit

Question 7

If the SRA believe a solicitor may have paid or received a prohibited referral fee, the _________ will have the burden of proving the fee was ___ ___________.

Answer 7

solicitor, not prohibited

Question 8

A solicitor may refer a client to a company for ______ services if the solicitor owns an interest in the other business only if the solicitor ________ the client and they ________

Answer 8

ancillary, informs, consent

Question 9

A solicitor may agree to share fees with a non-solicitor if they _____ the client of the interest, the client _______, and the fee-sharing agreement is __ _______

Answer 9

inform, consents, in writing

Question 10

How can a conflict be avoided, in which a solicitor agrees to act only with respect to issues in which there is no conflict?

Answer 10

Limited retainer

Question 11

What are 2 exceptions to the acting for 2 clients where there is a client conflict (provided the necessary conditions are in place)?

Answer 11

1. Substantially common interest
2. Competing for the same objective

Question 12

What are the 2 conditions that must be met for the client conflict exceptions to apply?

Answer 12

1. Informed consent, given and evidenced in writing
2. Effective safeguards in place to protect each client’s confidential information

Question 13

For the competing for the same objective exception, the solicitor must be satisfied that it is _________ to act for all the clients.

This exception usually only applies if both clients are _________ users of legal services

Answer 13

reasonable, sophisticated

Question 14

A solicitor may draft a will which includes a gift to them if the gift is ____ __________ in relation to the size of the _______ _______

They may also draft the will if the solicitor is ________ to the client and is being treated similarly to _____ _________ of the client

The solicitor may draft the will if they’re satisfied the client has taken __________ _____ ______ with respect to the gift

Answer 14

not significant, client’s estate, related, other relatives, independent legal advice

Question 15

A breach of the duty of confidentiality is justified when:

the breach is necessary to prevent the commission of a ________ _______ that will result in _______ ________ _____

or necessary to protect a ____________ person

Answer 15

criminal offence, serious bodily harm, vulnerable

Question 16

A solicitor is not permitted to act for Client A in a matter where A has an interest that’s _______ to Client B, and B is a ________ __ ______ client for whom the firm holds information which is ________ to Client A in that matter

Answer 16

adverse, current or former, material

Question 17

What are the 2 conditions that could be met to circumvent the confidentiality v disclosure rule?

Answer 17

1. Effective measures/safeguards have been taken to result in no risk in disclosure of information
2. Former/current client gives informed consent given or evidenced in writing.

Question 18

If a complaint is not resolved within _ _______, the firm must inform the client __ ________ of any right to complain to the _______ ___________ and the procedure for doing so

Answer 18

8 weeks, in writing, Legal Ombudsman

Question 19

The SRA’s ________ rules requires solicitors to display information about ______ with regard to certain client services, such as residential ___________, ________ offences, and ______

Answer 19

transparency, pricing, conveyancing, motoring, probate