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law > Legal Services and Professional Conduct > Flashcards

Legal Services and Professional Conduct Flashcards

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1
Q

What is a damages based fee agreement and what is the maximum?

A

Fee is % of damages received and capped at 50%.

25% for personal injury.

35% for employment.

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2
Q

What is a no-win, no-fee ‘conditional fee’ agreement?

A

Capped at 100% of hourly rate.

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3
Q

Does a fee agreement need to stipulate that it is a contentious business agreement?

A

Yes.

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4
Q

What must be satisfied for someone to receive legal aid?

A

Merits test

Means test - how poor they are.

Interests of justice test.

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5
Q

If a defendant pleads guilty, are they still eligible for legal aid?

A

Yes.

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6
Q

Which factors are relevant to the interests of justice test?

A

Likelihood of jail.

Amount of law in trial.

If witnesses will be cross-examined.

Whether someone besides family has interest in the individual being represented.

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7
Q

In the context of legal aid, when is the interests of justice test automatically satisfied?

A

In a crown court trial.

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8
Q

What are the income bands for the means test?

A

Less than 12.7k - automatically eligible.

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9
Q

What is the threshold for satisfying the merits test in civil proceedings?

A

Around 50% chance of success.

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10
Q

Can a fixed fee be increased halfway through work?

A

Only if the client agrees. If the client doesn’t agree, solicitor must finish the work.

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11
Q

Which fee agreements can the court assess and set aside?

A

Contentious agreements only.

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12
Q

When can a solicitor commence claims to recover costs?

A

One month after invoice.

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13
Q

When will a spouse’s income not be taken into account for the means test?

A

When the spouse has a contrary interest - eg they want the person to go to jail.

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14
Q

When is a freelance solicitor exempt from having to be authorised as a sole practice?

A

All legal work is outside reserved activities.

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15
Q

Are in-house solicitors authorised to give legal advice to people outside their company?

A

Yes as long as there is insurance.

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16
Q

Do non-profit orgs providing legal advice need to be authorised?

A

No because legal advice is not reserved.

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17
Q

Is professional indemnity insurance required of law firms?

A

Yes at 3 million minimum.

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18
Q

What are the protected characteristics under the Equality Act 2010?

A

Race
Sex
Religion
Age
Sexuality
Disability
Marriage
Pregnancy

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19
Q

What is the employment exception to discrimination?

A

Only people with a particular protected characteristic can perform the job.

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20
Q

What is the prohibited conduct under the Equality Act?

A

Direct discrimination
Indirect discrimination.
Victimisation: harming someone for doing a ‘protected act’ like filing proceedings.
Sexual harassment.

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21
Q

Can failure to make adjustments amount to discrimination under the Equality Act?

A

Yes.

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22
Q

Is practicising as a solicitor without being certified a crime?

A

Yes.

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23
Q

Is it discrimination if a law firm hires people with a protected characteristic that are disproportionately under-represented?

A

No.

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24
Q

Is the duty to make reasonable adjustments for disabled people anticipatory? Meaning you have to fulfill the duty in anticipation of certain interactions?

A

Yes.

25
Q

Is carrying out a financially regulated activity a crime?

A

Yes.

26
Q

What are specified investment products?

A

Stocks
Gilts
Insurance Contracts
Mortgages

NOT land or real estate.

27
Q

What are specified investment activities?

A
  • Being agent (unless only executing or using authorised third party)
  • Arranging (unless just introduction or using authorised third party)
  • Managing
  • Advising
  • Lending
28
Q

What are the exceptions that apply to all financially regulated activities?

A

Acting as trustee.
Professionally necessary.
Takeover of 50% or more of a company.

29
Q

What are the conditions for a solicitor to be able to carry out a regulated activity without authorisation from the FCA?

A
  • Not receiving money from anyone besides client.
  • Activity is incidental of legal services AND to the same person.
  • NOT insurance distribution activity or recommendation of disposal of rights.
30
Q

What consumer credit activity between a solicitor and client needs to be authorised by FCA?

A

If debt is paid over more than twelve payments over more than 12 months or with interest.

31
Q

If I own 30% of the shares of a company and will purchase 20% more, does that satisfy the ‘takeover’ exception?

A

Yes.

32
Q

When can solicitors use an authorised third person for a regulated activity and receive a commission?

A

When they let the client know about the fee and account to them for it.

33
Q

Is the provision of generic advice outside the scope of specified regulated activity?

A

Yes.

34
Q

Is money laundering training required at all law firms?

A

Yes.

35
Q

What can solicitors use for identity verification?

A

Independent third party documents like passports.

36
Q

How can a solicitor defend themselves from the corporate offence of failing to prevent criminal facililation of tax evasion?

A

Risk assessments and preventative procedures.

37
Q

When is enhanced due diligence required?

A

Sketchy countries.
Suspicious transactions.
High ranked politicians.

38
Q

Can a firm represent someone on a sanctions list?

A

Only with a licence.

39
Q

What are the offences under the Proceeds of Crime Act 2002?

A
  • Anything involving crime money especially if solicitor is aware.
  • Failure to disclose money laundering.
  • Tipping off that an investigation is under way.
  • Prejudicing an investigation into money laundering.
40
Q

Is the test for knowing or suspecting that something is crime money subjective or objective?

A

Subjective but low.

41
Q

What is a defence to the offences under the Proceeds of Crime Act?

A

Disclosure as soon as suspicion arises to the nominated officer.

42
Q

When can a nominated officer give consent to proceed with a suspicious transaction?

A

If he receives consent from the NCA or does not hear back for seven days.

43
Q

What must a firm advising on insurance do?

A

Notify the SRA.

44
Q

When can a freelance solicitor engage in reserved activities?

A

After working for three years.

45
Q

What are the limitations on fee-uplifts in non-contentious agreements?

A

There are none.

46
Q

What is the time limit and consequences of a firm running out of indemnity insurance?

A

They get a 30 day extension in which they can continue working normally. After that, they enter 60 day period where they can only act in continuation of existing instructions.

47
Q

Can a law firm engage in B2B marketing?

A

Yes.

48
Q

When can a firm not accept a referral fee by way of a fee sharing agreement?

A

When the client is charged with a crime.

49
Q

Who can a solicitor make unsolicited approaches to?

A

Only former and current clients.

50
Q

Can a solicitor advertise to the public?

A

Yes but only in a non-intrusive and non-targeted way.

51
Q

Can a solicitor retain a client’s papers through an equitable lien due to unpaid client fees?

A

Yes as long as a bill has been issued.

52
Q

What are the conditions for a solicitor to act for two clients with a potential conflict of interest?

A

Both parties consent.

Measures are in place to protect disclosure of confidential information.

53
Q

Can you make unsolicited approaches to directors of a company?

A

Yes because they are not members of the public.

54
Q

In what form can a solicitor personally hold client money?

A

Through a third party managed account.

55
Q

Does a solicitor holding a practising certificate from the SRA need to submit an annual return?

A

Yes.

56
Q

Which factors make a gift from a client to a solicitor acceptable?

A

Value and timing.

57
Q

Is legal aid available for mortgage possession and family proceedings?

A

Yes.

Family if there is domestic abuse.

58
Q

Do you need the client’s permission to disclose their lying to the court?

A

Yes.

59
Q

Can solicitors limit their duty in a retainer agreement?

A

Yes.

law (10 decks)

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