Brainscape's Knowledge GenomeTM


Top Flashcards (Certified)
All Flashcards

IPP > Professional Conduct > Flashcards

Professional Conduct Flashcards

1
Q

Professional bodies

A

Law society
SRA
Legal services board

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
2
Q

What does the law society do

A

Lobbies for change
Seeks to improve system
Admission is voluntary

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
3
Q

What does the SRA do

A

Made in 2007 to regulate solicitors, control training and admission

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
4
Q

What does the legal services board do

A

Made in 2007 to supervise the SRA

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
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
How well did you know this?
1
Not at all
2
3
4
5
Perfectly
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
How well did you know this?
1
Not at all
2
3
4
5
Perfectly
7
Q

How to appeal SDT decision

A

Administrative court

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
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

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
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

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
10
Q

What to do when two or more SRA principals conflict

A

The one that best serves the public interest takes precedence

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
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

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
12
Q

Requirements for an ABS

A

Must have one manager that is a European solicitor

Must be a licensable body

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
13
Q

What does an ABS allow

A

Allows non-lawyers to invest in law firms

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
14
Q

Types of businesses that law firms can be

A

Sole practitioner
Partnership
LLP
Company

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
15
Q

What is Confidentiality

A

Outcome 4.1

Duty to keep affairs to clients confidential

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
16
Q

When can confidentiality be broken

A

When consented to for permitted in law

Good reason
Court order
Statutory duty
Police warrant

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
17
Q

Impact of death on confidentiality

A

Confidentiality continues and applies to PRs

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
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

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
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

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
20
Q

What happens when confidentiality and duty to disclose conflict

A

Outcome 4.3- confidentiality takes priority

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
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
How to retract an undertaking
Need an agreement
26
What happens when an undertaking is ambiguous
Interpreted in favour of recipient
27
What does privilege allow
Allows a solicitor to withhold information he would otherwise be required to disclose
28
When does privilege apply
To info between solicitor and client written, oral, directly or indirectly
29
When can you act if there is a conflict of interest between a client and a solicitor
Never
30
When can you act if there is a conflict of interest between two clients
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
What is a conflict of interest
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
What does privilege allow
Allows solicitor to withhold information he would otherwise be required to disclose
33
When does privilege apply
Applies to info between solicitor and client written, oral, directly or indirectly
34
What are the rules regarding unsolicited marketing phone calls
O8.3 prohibits unsolicited phone calls to the public but can contact existing or potential professional or business connections
35
How to act in your clients best interests when accepting introductions and making referrals
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
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
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
When taking instructions ensure that....
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
Breaches of SRA suitability test
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
Can you act for both lender and borrower in a mortgage
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
What to include in letter to client after first meeting
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
What must you inform the client of in writing
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
Must inform client of...
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
What must the bill contain
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
Can a bill be sent electronically
If client agrees
45
When can you sue a client for payment
1 month after delivery of bill unless given leave on grounds in SA S68
46
What a court can consider regarding a bill
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
Can you take on a client even though you’re working at full capacity
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
Can you charge to investigate a complaint
No
49
Requirements of complaints procedure
Must deal with it promptly, fairly, openly and effectively Must be easy to use and understand Responsive to needs of client
50
What remedies can an ombudsman order
``` 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)

Brainscape helps you reach your goals faster, through stronger study habits.
© 2025 Bold Learning Solutions. Terms and Conditions