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IPP > Professional Conduct > Flashcards

Professional Conduct Flashcards

1
Q

Professional bodies

A

Law society
SRA
Legal services board

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2
Q

What does the law society do

A

Lobbies for change
Seeks to improve system
Admission is voluntary

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3
Q

What does the SRA do

A

Made in 2007 to regulate solicitors, control training and admission

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4
Q

What does the legal services board do

A

Made in 2007 to supervise the SRA

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5
Q

What sanctions can the SRA impose for a breach of code

A 
Fine 
Control how person or firm operates 
Warning on future conduct 
Refer to SDT
Intervene in practice 
Enter into agreement with firm or person
Revoke or suspend firm or person
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6
Q

What can the solicitors disciplinary tribunal do

A 
S46 of Solicitor Act 1974
Strike off 
Suspend 
Impose restrictions 
Fine then
Reprimand 
Require
Payment or contribution to costs
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7
Q

How to appeal SDT decision

A

Administrative court

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8
Q

How does a matter get taken to SDT

A

Panel of solicitors or advocate of SRA with evidence

May go to trial, public judgement, effective immediately

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9
Q

Rules regarding SRA compensation fund S36 SA 1964

A

Must be applied for
No more than £2m per claim
To person who suffered loss
SRA may seek money from solicitor to pay claimant

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10
Q

What to do when two or more SRA principals conflict

A

The one that best serves the public interest takes precedence

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11
Q

10 SRA principles

A

Uphold justice and rule of law
Act with integrity
Independence
Act in best interests of clients, observe confidentiality and conflicts of interest
Proper standard of service must be provided
Maintain public trust in profession
Comply with legal and regulatory obligations
Run business with sound financial and risk management principles
Respect diversity and do not discriminate
Protect client money and assets

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12
Q

Requirements for an ABS

A

Must have one manager that is a European solicitor

Must be a licensable body

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13
Q

What does an ABS allow

A

Allows non-lawyers to invest in law firms

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14
Q

Types of businesses that law firms can be

A

Sole practitioner
Partnership
LLP
Company

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15
Q

What is Confidentiality

A

Outcome 4.1

Duty to keep affairs to clients confidential

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16
Q

When can confidentiality be broken

A

When consented to for permitted in law

Good reason
Court order
Statutory duty
Police warrant

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17
Q

Impact of death on confidentiality

A

Confidentiality continues and applies to PRs

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18
Q

What does the disclosure duty require

A

4.2

When advising a client disclose all info material that you retain of which you have personal knowledge

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19
Q

When can duty to disclose be broken

A

Written Consent
Evidence of serious physical or mental injury caused by disclosure
Legal restrictions
Obvious docs have been mistakenly given to you
State secrets

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20
Q

What happens when confidentiality and duty to disclose conflict

A

Outcome 4.3- confidentiality takes priority

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21
Q

What is an undertaking

A

A promise to do or not to do something

22
Q

Is an undertaking enforceable

A

Yes against solicitor who is personally liable even if client doesn’t comply

23
Q

Requirements for an undertaking to be binding

A

Orally or writing
To someone who reasonably relies on it
Doesn’t need word undertaking

24
Q

Where can an undertaking be enforced

A

Court, SDT, SRA, ombudsman

25
Q

How to retract an undertaking

A

Need an agreement

26
Q

What happens when an undertaking is ambiguous

A

Interpreted in favour of recipient

27
Q

What does privilege allow

A

Allows a solicitor to withhold information he would otherwise be required to disclose

28
Q

When does privilege apply

A

To info between solicitor and client written, oral, directly or indirectly

29
Q

When can you act if there is a conflict of interest between a client and a solicitor

A

Never

30
Q

When can you act if there is a conflict of interest between two clients

A

Substantially common interest (clear common purpose)

Competing for same objective (if one got it the other could not get it

Need written informed consent
Safeguards to protect info
Reasonable to act

31
Q

What is a conflict of interest

A

May not act where there is a conflict of interest or significant risk of conflict

Solicitor or firm owes separate duties to act in best interests of two or more clients in relation to the same or related matter. Those duties conflict or there is a significant risk that they will conflict

Not former clients

32
Q

What does privilege allow

A

Allows solicitor to withhold information he would otherwise be required to disclose

33
Q

When does privilege apply

A

Applies to info between solicitor and client written, oral, directly or indirectly

34
Q

What are the rules regarding unsolicited marketing phone calls

A

O8.3 prohibits unsolicited phone calls to the public but can contact existing or potential professional or business connections

35
Q

How to act in your clients best interests when accepting introductions and making referrals

A

Inform clients of an financial and other arrangements with introducer and referrals
Suggestion of referral is okay but compulsion is not
Introducer must not obtain client through marketing contrary to code
Any financial arrangement with introducer must be written and available for inspection by SRA
You must inform client of limitations before making any recommendations

36
Q

Can you act if your client has an interest adverse to another current or former client for whom you hold confidential info that is material to that matter

A

No you cannot act unless;

Effective measures are taken to ensure no real risk of disclosure of confidential info

Current or form client whose info you hold has given written informed consent to you acting and to any measure taken to protect their info

37
Q

When taking instructions ensure that….

A

Client is in a position to make an informed decision about the services they need, how the matter will be handled and the options available to them

38
Q

Breaches of SRA suitability test

A

Failure to notify SRA of offence before commencing TC may be evidence of dishonest behaviour
SRA looks at all criminal activity not just convictions
Debt is not grounds for refusal but evidence applicant cannot manage finances properly and carefully is grounds for refusal
SRA looks at any behaviour not compatible with that expected of a lawyer eg violent, dishonest

39
Q

Can you act for both lender and borrower in a mortgage

A

Yes provided there is no conflict of interest

Even if there is a conflict you can act if it is reasonable and in the clients best interests for you to act. Mortgage is a standard mortgage for clients private residence Certificate of title required by the lender is in the form approved by the society and council of mortgage lenders

Do not send accounts to lender without borrowers permission

40
Q

What to include in letter to client after first meeting

A

Level of service to be provided (eg frequency of communication)
Your responsibility and that of the client
Names and status of people dealing with matter and supervisor
Need to balance benefits and costs of litigation and liability for others costs
Clear discussion of costs including disbursements, insurance options and limitations those may put on services

41
Q

What must you inform the client of in writing

A

Right to complain and how to make complaints

At engagement and conclusion of complaints proceeding- right to complain to ombudsman, time frame for doing do and full details of how to contact ombudsman

42
Q

Must inform client of…

A

How services are regulated
At start and throughout - the likely cost of the matter
Right to challenge or complain about bill and when they will pay interest (doesn’t have to be at the start)

43
Q

What must the bill contain

A

Sufficient info for client to be satisfied that the bill is reasonable and to be able to identify period covered by it

Client must be able to make decisions about the services they need

Client must receive the best possible info about likely overall cost of their matter

Bill or accompanying letter must be signed by solicitor or on their behalf by authorised employee

44
Q

Can a bill be sent electronically

A

If client agrees

45
Q

When can you sue a client for payment

A

1 month after delivery of bill unless given leave on grounds in SA S68

46
Q

What a court can consider regarding a bill

A

Costs must be reasonably incurred and be reasonable in amount
Can also assess disbursements
When deciding what is reasonable the court must have regard to all circumstance of the case and specific factors including complexity, specialist knowledge, time, documents, value of transaction and importance of matter to client

47
Q

Can you take on a client even though you’re working at full capacity

A

No. You must act in best interest of client and provide a proper standard of service. You must have resources, skills and procedures to carry out clients instructions
Services you provide to clients must be competent and timely

48
Q

Can you charge to investigate a complaint

A

No

49
Q

Requirements of complaints procedure

A

Must deal with it promptly, fairly, openly and effectively
Must be easy to use and understand
Responsive to needs of client

50
Q

What remedies can an ombudsman order

A 
Apology 
Compensation 
Specific action
Costs order 
Limit fees

Even if ombudsman finds complaint was unjustified they can still make order if it wasn’t dealt with properly

Can refer misconduct to SRA

IPP (8 decks)

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