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Ethics: > /Professional Conduct > Flashcards

/Professional Conduct Flashcards

1
Q

Professional Conduct:

Can you accept REFERRAL and FEE sharing payments in relation to CIVIL matters?

A

YES - but the client MUST be made AWARE of them and the arrangement must be in WRITING

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2
Q

Professional Conduct:

Can you accept REFERRAL and FEE sharing payments in relation to CRIMINAL matters?

A

NO

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3
Q

Professional Conduct:

Can you accept REFERRAL and FEE sharing payments in relation to CIVIL matters for PERSONAL INJURY (PI)

A

NO - cannot pay or receive

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4
Q

Professional Conduct:

Who can give an UNDERTAKING?

A

ANYONE in the firm can be in writing or oral NEED NOT include the word ‘undertaking’

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5
Q

Professional Conduct:

Can you accept a COMMISSION from a third party?

A

YES - but need to satisfy the firm’s Compliance Officer for Legal Practice (COLP) that the referral is in the interest of the client and the client is aware of the payment.

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6
Q

Professional Conduct:

What is an ‘own interest conflict’?

A

One that directly affects you:
- financial interest of you / someone close
- personal / business relationship
- your role as an employee
- your own conduct

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7
Q

Professional Conduct:

Can you act where there is an OWN interest conflict?

A

NO - there are NO exceptions

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8
Q

Professional Conduct:

What is a conflict of interest?

A

“Any situation where your separate duties to act in the best interests of two or more clients in the same or related matter conflict”

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9
Q

Professional Conduct:

Can you act where there is a conflict of interest?

A

NO - unless one of the two EXCEPTIONS apply

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10
Q

Professional Conduct:

What are the two EXCEPTIONS to conflict of interest?

A
  • Substantially COMMON interest exception
  • Competing for the SAME objective exception

AND

  • informed CONSENT from ALL clients
  • safeguards are put in place
  • reasonable for you to act for all clients
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11
Q

Professional Conduct:

What is required for the “Substantially common interest exception”?

A
  • clear common purpose
  • strong consensus as to how to achieve the common purpose.
  • clients have given their consent in writing
  • safegaurds have been put in place
  • you are satisfied that it is reasonable for you to act
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12
Q

Professional Conduct:

What is required for the “Substantially common interest exception”?

A

an objective which, if obtained by one client will make that objective unattainable to all other clients including
- liquidation,
- auction or
- tender
- but not a public takeover
AND
- informed consent from all clients
- safeguards are put in place
- reasonable for you to act for all clients

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13
Q

Professional Conduct:

When is the duty of confidentiality overridden?

A
  • Statute (HMRC etc.)
  • Reporting requirements (Money Laundering etc.)
  • To defend a claim brought against you by the client
  • Abuse of children

Talk to COLP first

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14
Q

Professional Conduct:

What is the duty of DISCLOSURE?

A

You MUST make a client aware of all information material to the matter of which you have KNOWLEDGE

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15
Q

Professional Conduct:

Does the duty belong to the solicitor or to the firm?

A

The solicitor, therefore no obligation to make client aware of all info held by the firm that YOU ARE NOT aware of.

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16
Q

Professional Conduct:

When is the duty of DISCLOSURE overridden?

A
  • prohibited by law (national security / prevention of crime)
  • informed consent of client in writing to info not being disclosed to them
  • reason to believe serious physical or mental injury may be caused to another
  • info is in a privileged doc that you only know about because it has been mistakenly disclosed
17
Q

Professional Conduct:

What happens if you worked for X and they refuse for you to share info gained from their case that is relevant to Y?

A

Must NOT act for Y unless informed consent is given

18
Q

Professional Conduct:

Which takes precedence, the duty to DISCLOSE, or the duty of CONFIDENCE (i.e, CONFIDENTIALITY)?

A

The duty of CONFIDENCE

19
Q

Professional Conduct:

What are ADVERSE interests?

A

You CANNOT work for someone who is looking to sue another client/previous client of the firm unless:
- measures can be taken to protect the confidential information;
- the other client has given permission in writing

20
Q

Professional Conduct:

Are SOLICITORS allowed to make UNSOLICITED approaches to potential customers?

A

NO with the EXCEPTION of FORMER clients

21
Q

Professional Conduct:

What info is required to be on a website?

A
  • SRA number
  • SRA badge
22
Q

Professional Conduct:

What info is required to be on a letter?

A

SRA authorisation number and the words “Authorised and regulated by the solicitors regulation authority”

23
Q

Professional Conduct:

What is the role of the Compliance Officer for Legal Practice (COLP)

A

ensure compliance with:
- T&C’s of authorisation by SRA
- Statutory obligations
- record failures of above
- report material failure to SRA

24
Q

Professional Conduct:

What is the role of the Compliance Officer for Finance Administration (COFA)

A
  • ensure the firm complies with the SRA accounts rules
  • report breaches to SRA
25
Q

Professional Conduct:

When do you need to re-tell clients about their rights if they complain?

A

8 weeks of the making of the complaint:

  • Legal ombudsman
  • suggest ADR
26
Q

Professional Conduct:

What should you do if you have instructions to act but the client has been taken ill and cannot be reached during a transaction?

A

You are subject to the overriding obligation to act in your client’s best interests.

By exercising their legal authority to act in the client’s best interests and professional judgement, the solicitor CAN CONTINUE to handle the case and make decisions that are the most ADVANT to the client.

27
Q

Professional Conduct:

For personal injury cases and damage-based agreements, what is the most that that is recoverable?

FLAG FOR REVIEW ON AMOUNTS

A

25% of
- general damages for pain, suffering and loss of amenity
&
damages for pecuniary loss other than future losses

28
Q

Professional Conduct:

Solicitors may NOT make unsolicited approaches members of the public to advertise except when?

A
  • former or current clients
  • in order to advertise legal services
29
Q

Professional Conduct:

Solicitors may not make unsolicited approaches members of the public to advertise, who are not members of the public?

A
  • Businesses such as companies or non-profits
  • directors, members, employees of a company acting in their role as representing the company.
30
Q

Professional Conduct:

When MUST a Barrister accept a case?

A
  • Cab-Rank Must accept immediately if:
  • its a field they work in
  • a court they normally appear at
  • for usual rate
31
Q

Professional Conduct:

What is the period for a defence under POCA after a submission to the NCA?

A
  • 7 clear days
    OR
  • 31 days of INITIAL REFUSAL followed by NO further steps by the NCA
32
Q

Professional Conduct:

If a SOLICITOR gives an undertaking to do something without a specific timescale, when must that thing be done by?

A

Within a REASONABLE time

33
Q

Professional Conduct:

Does a SOLICITOR need to use the works ‘undertaking’ for something to be an undertaking?

???

A

No

34
Q

Professional Conduct:

What insurance is required for PI work?

A

“adequate & appropriate”

35
Q

Professional Conduct:

What insurance is required for non-PI work

A

£3m for any one claim

36
Q

Professional Conduct:

What insurance is required for non-reserved legal activities?

A

No SRA requirement

37
Q

Professional Conduct:

What costs increase should clients be informed of?

A

ALL cost increases

Ethics: (6 decks)

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