Regulatory and Legal Environment MCQs Flashcards
You are an apprentice at Price Prior, and your friend is an apprentice at Mynett Ruby Solicitors. Both firms have 10 partners. You are having lunch with your friend before attending Price Prior’s Equality, Diversity and Inclusion Policy (‘EDIP’) training course in the afternoon. Your friend says she has never heard of an EDIP and is sure that Mynett Ruby does not have any such policy in place. In addition, she has certainly never had any training on the matter.
Which ONE of the following statements is CORRECT?
Given the fact that Mynett Ruby is a 10 partner firm, its failure to have an equality and diversity policy will, of itself, amount to a breach of the Code of Conduct for Solicitors and the Code of Conduct for Firms.
You should suggest that, in order to comply with the Codes, the partners of Mynett Ruby Solicitors should cut and paste a ‘standard’ equality, diversity and inclusion policy from the internet and e-mail all staff at the firm immediately with a copy of the policy.
Your friend should make an enquiry when she returns to the office as to whether the firm has an equality, diversity and inclusion policy. She should ask her employers for training in this area because the Code of Conduct for Solicitors contains a requirement not to unfairly discriminate which binds not only the partners and managers of the firm, but also the rest of the staff, including apprentices.
You should tell your friend not to worry because it is the responsibility of the partners of the firm, not your friend, to ensure that everyone in the firm complies with the obligation not to unfairly discriminate.
The Codes requires that each firm must appoint an ‘Equality, Diversity and Inclusion Manager’ whose responsibility it is to ensure the firm’s equality, diversity and inclusion policy is written and implemented across the firm.
Your friend should make an enquiry when she returns to the office as to whether the firm has an equality, diversity and inclusion policy. She should ask her employers for training in this area because the Code of Conduct for Solicitors contains a requirement not to unfairly discriminate which binds not only the partners and managers of the firm, but also the rest of the staff, including apprentices.
You work at a large international firm and have been asked to go to the reception of your firm’s offices to meet Aarya, a prospective client. Aarya has never been to your firm before and your firm has never acted for her. You have been asked to bring her to a meeting room for a preliminary meeting with your supervisor.
Bearing in mind the different factual scenarios set out below, which ONE of the following statements is CORRECT?
When you get to reception you discover that Aarya’s first language is Bengali and her understanding of English appears to be limited. As your understanding of Bengali is non-existent, your best course of action is to recommend to Aarya that she seeks advice from another law firm.
When you get to reception you discover that Aarya is profoundly deaf. She is able to lip read but has asked your firm to record the meeting and have the meeting notes transcribed so she can review them before deciding whether or not to instruct your firm. Your firm does not usually transcribe meetings and will have to pay someone to transcribe the meeting notes. The firm can pass the cost of paying for the notes to be transcribed to Aarya.
When you get to reception to you discover that Aarya has come for advice on a prenuptial agreement in relation to her forthcoming marriage to her partner Sarah. You are strongly opposed to the idea of gay marriage hand have asked your supervisor if you can be excused from acting for Aarya as you do not feel you will be able to give her objective advice. Your supervisor permits your request and is right to do so on the ground that insisting you act for Aarya means you will not be able to comply with requirement to act in the best interests of your client under Principle 7.
In the meeting Aarya reveals she is transgender and she has been denied the right to compete as a female at her local archery club and she would like to challenge the decision. Your supervisor believes that women who are transgender should not be able to compete in such circumstances and refuses to act for her. It is likely your supervisor will be found to be in breach of the requirement not to unfairly discriminate in the Code of Conduct for Solicitors.
When you get to reception you discover that Aarya is in a wheel chair. The meeting room is on the first floor and your office does not have a lift. The best course of action for you to take is to apologise to Aarya and recommend that she seeks advice from another law firm.
When you get to reception you discover that Aarya is in a wheel chair. The meeting room is on the first floor and your office does not have a lift. The best course of action for you to take is to apologise to Aarya and recommend that she seeks advice from another law firm.
Correct. Under CCS 1.1 you must ensure that you do not unfairly discriminate by allowing your personal views to affect your professional relationships and the way in which you provide your services, the supervisor will have breached this provision if they refuse to act for Aarya even though Aarya is not yet a client of the firm.
Sexual orientation is a protected characteristic under the Equality Act (‘EA’). and refusing to act for Aarya on the grounds of her sexual orientation would be discriminatory and unlawful under EA. In addition the supervisor would be breaching CCS 1.1.
In relating to transcribing the notes for the meeting, you have an obligation under CCS 3.4 to take account of your client’s attributes, needs and circumstances. You will therefore need to transcribe the notes. You also have a duty to make reasonable adjustments to the service you provider under section 29 EA. Given you work at a large international firm, it is unlikely that the cost involved in transcribing meeting notes will be so great as to make the adjustment unreasonable. You will not be able to pass on the costs for these adjustments, see the Guidance on the SRA’s approach to equality, diversity and inclusion.
You work in the corporate department of a large national firm. Arshad wishes to instruct your firm in connection with the acquisition of a small abattoir business which processes and supplies Halal meat to butchers who serve the Islamic community. The purchase price for the business is to be £750,000 and the agreement will be governed by English law.
Which ONE of the following reasons would your supervisor be able to rely on to refuse to accept Arshad’s instructions?
It is your firm’s policy not to accept instructions in relation to corporate acquisitions where the purchase price is less than £1 million
Your supervisor will not be able to effectively communicate with Arshad as Arshad’s first language is Bengali and he only has a limited understanding of English.
Your supervisor considers that they do not have enough time to be able to advise on the sale of the abattoir business.
Your supervisor will is vegetarian and will therefore not be able to act in the best interests of the client.
Your supervisor considers that they do not have sufficient religious knowledge to be able to advise on the sale of the abattoir business.
It is your firm’s policy not to accept instructions in relation to corporate acquisitions where the purchase price is less than £1 million
Race and religion or belief are both protected characteristics under the Equality Act. Under section 29, a person concerned with the provision of a service to the public, or a section of the public must not discriminate against a person requiring the service by not providing the person with the service. It would be discriminatory to refuse to provide the service because of either of these protected characteristics.
In relation to the language issue, while there may be a communication problem, this can be resolved by making arrangements for a translator to assist in translation of documents and to attend meetings.
In relation to religious knowledge it is unlikely that religious knowledge is necessary to complete the legal work in purchasing the business. The client will be looking to the solicitor for legal advice, not advice on the religious aspects of slaughtering animals in an abattoir, and to the extent knowledge of Islamic practice is needed, the solicitor will need to obtain this from the client.
Not having enough time to complete the work might be a good reason in a small firm with a limited number of lawyers. However this is a large firm so the supervisor should be able to refer the work to a colleague if they themselves are too busy.
Turning down the instructions because the supervisor is vegetarian would amount to a breach of the obligation not to unfairly discriminate by allowing your personal views to affect your professional relationships and the way you provide your services under CCS 1.1.
The policy not to accept instructions where the purchase price is less than £1 million is not discriminatory and would apply regardless of the race or religion of the client.
Nisha appointed a law firm to administer the estate of her mother. A year after appointing the firm, the administration has not been completed and the Nisha has become increasingly frustrated at the length of time it takes the solicitor to respond to her questions and requests for action. Nisha follows the law firm’s complaints procedure but eight weeks after making the complaint, the issue has not been resolved to her satisfaction.
Which option best sets out the action Nisha should take next?
She should refer her complaint to the Legal Services Board.
She should refer her complaint to the Law Society
She should refer her complaint to the Solicitors Disciplinary Tribunal.
She should refer her complaint to the SRA
She should refer her complaint to the Legal Ombudsman
She should refer her complaint to the Legal Ombudsman
Correct. As the firm’s internal complaints procedure has been exhausted, Nisha, as an individual should refer the complaint to the Legal Ombudsman.
Clients can refer complaints concerning misconduct, dishonesty or breaches of the SRA’s rules to the SRA, but there is nothing on these facts to suggest misconduct or dishonesty or breach of the SRA’s rules. It is possible the firm has breached CCS 3.2 which requires solicitors to provide a service that is competent and delivered in a timely manner, but we do not know enough in this scenario to determine whether there is a breach of this provision or whether there is a reason for the perceived delay.
The SDT deals with serious breaches of the SRA’s rules.
The Law Society would not be the appropriate body as it represents solicitors in England and Wales and supports them in their careers.
The Legal Services Board is also not the appropriate body.
You are a solicitor in the litigation department in a large firm. You receive a telephone call from a new client who is seeking advice in relation to a medical negligence claim against a health authority. The client tells you that she is blind. She informs you that she will need you to load some new software onto your computer so that any documents that you send her are compatible with her voice activation software. You do have the capacity to take on more work and it sounds like this client has a good case. However, you are concerned about the client’s additional needs. Making the adjustments will involve moderate expense. In addition your firm will have to install the software onto their IT systems. Your IT department is not particularly helpful and you know that you will have to spend a large amount of time liaising with them.
What should you do?
Tell the client that you are too busy to take on her case.
Tell the client that you cannot take on her case because your firm’s IT department is unable to install the software.
You should take on the new client despite your concerns
Tell the client that you can act for her but that she will have to bear the costs of installing the voice activated software.
Tell the client that she has a good case, but you cannot act for her because you have no experience of advising blind clients.
You should take on the new client despite your concerns
Correct. Your firm has an obligation to make reasonable adjustments necessary to ensure that a disabled person is not placed at a substantial disadvantage compared to those who are not disabled. On the facts the client has a good case and the only reason you would not be taking her on as a new client is because of her disability and additional needs.
You are acting for the claimant in a litigation matter. You are sitting behind your client’s counsel, Mary Davis (‘Mary’), in the High Court taking notes. During the lunch adjournment, your client shows you a document which was previously thought to have been lost, and which is prejudicial to your client’s case. Your client tells you not to tell anyone, not even Mary.
What should you do?
You should not tell Mary about the document. Mary would have to disclose the existence of the document to the court, but you have no obligation to do so.
You should tell Mary about the document, as in doing so you would be complying with Principle 7 (act in the best interests of each client).
You should not tell Mary about the document as you should comply with Principle 7 (act in the best interests of each client).
You should not tell Mary about the document, as in doing so, you would lose the trust of your client.
You should tell Mary about the document in order to comply with Principle 1 (act in a way that upholds the constitutional principle of the rule of law, and the proper administration of justice).
You should tell Mary about the document in order to comply with Principle 1 (act in a way that upholds the constitutional principle of the rule of law, and the proper administration of justice).
Correct. This is an example of where your duty under Principles 1 (and 2) come into conflict with your duty to your client under Principle 7. The introduction to the Principles makes it clear that in these circumstances the Principles which safeguard the wider public interest such as the rule of law take precedence over an individual client’s interest.
You are an apprentice solicitor in the litigation department. Peter is an apprentice solicitor at the firm which is acting for the other side in a litigation matter. Yesterday, you said the following to Peter in a telephone conversation:
“I promise to forward the witness statement of X to you by first class post today”.
On the basis Peter is acting reasonably in placing reliance on what you said, which ONE of the following statements is CORRECT?
Your words cannot amount to an enforceable undertaking because you did not use either of the words ‘undertaking’ or ‘undertake’.
Your words cannot amount to an enforceable undertaking because they were said in a telephone conversation, but they would have amounted to an enforceable undertaking if they had been put in writing.
Your words cannot amount to an enforceable undertaking because Peter is not legally qualified.
Your words amount to an enforceable undertaking and you must therefore do what you have promised to do.
Your words cannot amount to an enforceable undertaking because you are an apprentice solicitor.
Your words amount to an enforceable undertaking and you must therefore do what you have promised to do.
Correct. Undertaking is defined in the SRA Glossary as “a statement, given orally or in writing, whether or not it includes the word “undertake” or “undertaking”, to someone who reasonably places reliance on it, that you or a third party will do something or cause something to be done, or refrain from doing something.”
An undertaking can be given by anyone provided the recipient reasonably places reliance on it. So it can be given by an apprentice or any other employee of the law firm. It can be given orally, and it does not have to contain the work “undertake’ or ‘undertaking’. Your words do therefore amount to an undertaking, and under CCS 1.3 you must ensure that you perform the undertaking within the time you specified.
As a legal professional, you will be deemed to comply with your word and do what you promise to do. You need to be careful that you do not give undertakings unwittingly.
Two years ago, at your previous firm, you acted for Andrew in connection with his claim for unfair dismissal. Andrew had been dismissed for turning up to work drunk and the Employment Tribunal found in favour of Andrew’s employer (‘Employment Tribunal Decision’).
You are now an employment lawyer at another firm. A new client of the firm, BCD Limited (‘BCD’) is seeking your advice in relation to a disciplinary hearing it is about to hold in relation to one of its employees. The employee in question is Andrew. BCD alleges that Andrew has repeatedly returned to work after his lunch break smelling of alcohol and appearing drunk.
Which ONE of the following statements is CORRECT?
You should not act for BCD because you would be under a duty to disclose the Employment Tribunal Decision to them, which conflicts with your duty of confidentiality to Andrew.
You must disclose details of Andrew’s previous case to BCD because the information is material to the advice you have been instructed to give BCD.
You should not act for BCD on this matter because you have a conflict of interest.
You can act for BCD in this matter because your duty of confidentiality to Andrew terminated when you left your old firm.
You can act for BCD because your duty to disclose information does not apply to information you acquired at your previous law firm.
You should not act for BCD because you would be under a duty to disclose the Employment Tribunal Decision to them, which conflicts with your duty of confidentiality to Andrew.
Correct.
You have a duty of confidentiality to Andrew under CCS 6.3. This duty applies to current and former clients unless disclosure is required by law or the client consents.
If you accepted the instructions from BCD you would have a duty to disclose information of which you have knowledge which is material to the matter under CCS 6.4. The information about the Employment Tribunal finding in favour of Andrew’s former employer in his unfair dismissal case is material to this matter. However CCS 6.5 applies here. You cannot act for a client (BCD) in a matter where that client has an interest adverse to a former client (Andrew) for whom you hold confidential information which is material to that matter. Andrew and BCD have adverse interests here and the information is material to BCD’s matter. Condition (a) is that effective measures have been taken which result in there being no real risk of disclosure of the confidential information – here you already know the information so it is not possible to put effective measures in place. Condition (b) is that the former client (Andrew) consents to you acting. It is very unlikely that Andrew would consent to you acting for his employer on this matter.
The issue here is confidentiality, not conflicts of interest.
Your law firm, based in Kent, has a referral agreement with another firm based in Southampton under which if one firm (the ‘Introducer’) refers a client to the other firm (the ‘Recipient’), the Recipient will pay the Introducer 7% of the net fees paid by the client in the matter (‘Referral Fee’).
In which ONE of the following circumstances would your firm be able to accept instructions from the client referred by the other firm and pay the Referral Fee?
A client seeking to defend a charge of assault alleged to have taken place in a pub.
A client seeking to bring a claim for damages for personal injury after being hit by a car.
A client seeking to defend a charge of theft from a petrol station.
A client seeking advice on a dispute against their former landlord.
A client seeking advice on an employment dispute, in circumstances where the solicitor introducing the client insists that the client should not be told of the Referral Fee.
A client seeking advice on a dispute against their former landlord.
Correct. Under CCS 5.1(d) you do not make payments to an introducer in repost of clients who are the subject of criminal proceedings. You cannot therefore accept the referral in relation to the client who has been charged with assault or with theft.
Section 56(1) of the Legal Aid, Sentencing and Punishment of Offenders Act 2012 (‘LASPO’) prohibits solicitors from referring or receiving referrals in respect of a claimant’s claim for damages in respect of personal injury or death to each other in consideration for a referral fee. You would not therefore be able to accept the instructions in relation to the client seeking damages for personal injury and pay the Referral Fee to the other firm. Note that under CCS 5.2, your firm would have to show that the Referral Fee was not paid in breach of s. 56(1) LASPO.
There is nothing to stop your firm from accepting the instructions in relation to the dispute with the former landlord and paying the Referral Fee, provided you and your firm comply with CCS 5.1. CCS 5.1 (b) states that the client must be informed of any fee sharing that is relevant to their matter. Your firm therefore would not be able to accept the referral of the employment dispute where the solicitor introducing the client insists on the Referral Fee being kept confidential.
A law firm has just won a landmark settlement in a divorce case for a client which was reported in the legal press. The firm would like to refer to its involvement in the case in its marketing literature.
Which ONE of the following methods of marketing the firm’s involvement in the case is PROHIBITED under the Code of Conduct for Solicitors, RELs and FRLS (‘CCS’)?
Emailing a copy of the article from the legal press to former family law clients of the firm.
Emailing a copy of the article from the legal press to existing clients of the firm.
With your client’s consent, referring to your involvement in the case, in an interview with a legal magazine.
Writing an article on your involvement in the case for a family law publication with the permission of your client and their former spouse.
Handing out leaflets referring to the case to individuals leaving the local family law court.
Handing out leaflets referring to the case to individuals leaving the local family law court.
Correct.
CCS 8.9 states “you do not make unsolicited approaches to members of the public, with the exception of current or former clients, in order to advertise legal services provided by you or your business or employer”. Handing leaflets to recipients leaving the family law court would breach this provision.
As there is an exception under CCS 8.9 for current and former clients, emailing the article to current and former family law clients of the firm would not breach CCS.
Writing an article with the permission of the client and their former spouse would not breach CCS and neither would referring to your involvement in the case in an interview with a legal magazine, with your client’s consent.
A solicitor is advising a client who wants to leave a considerable sum of money to a charity in his will.
The following day the solicitor sits next to a new acquaintance at a dinner party. The new acquaintance tells the solicitor that he is concerned that the charity he works for is bound for financial failure because the directors are being sued for misappropriation of the charity’s funds. The new acquaintance then tells the solicitor the name of the charity he works for. Much to the solicitor’s surprise it is, by coincidence, the charity the client is proposing to bequeath to.
Is the solicitor obliged to inform the client of the reported concerns about the prospects of the charity?
No, because the information was obtained in the course of the solicitor’s personal life and therefore does not impact on his professional obligations.
Yes, because the information is material to the client’s matter.
No, because the duty of confidentiality overrides the duty of disclosure.
Yes, because the duty of disclosure overrides the duty of confidentiality.
No, because information obtained from clients must be kept confidential unless disclosure is required or permitted by law or the client consents.
Yes, because the information is material to the client’s matter.
CORRECT: this is a situation where the solicitor has received information from the acquaintance which is material to the client’s matter. The solicitor must disclose it to the client under CCS 6.4 unless one of the exceptions applies. None of the exceptions apply.
You are representing a client as a solicitor-advocate. The trial of the client’s claim started yesterday.
Last night, you were reading through the law reports in a national newspaper when you realised that one of the reported cases appears to be highly prejudicial to your client’s claim. You believe that neither the court nor the defendant’s legal representatives are aware of this reported case (the ‘Case’).
Which ONE of the following statements is CORRECT?
You may only give the court details of the Case if you have first obtained your client’s prior consent.
The Code of Conduct for Solicitors RELs and RFLs (‘CCS’) 6.4 imposes a duty on you to disclose to the court all material information relating to the Case.
You are not obliged to disclose the Case to the court because if you do so, you will be in breach of Principle 7.
You must not disclose the Case to the court because your duty of confidentiality to your client takes precedence over your duty to the court.
Although the Case is prejudicial to your client’s claim, you should provide the court with details of it. You do not need your client’s prior consent to do this.
Although the Case is prejudicial to your client’s claim, you should provide the court with details of it. You do not need your client’s prior consent to do this.
Correct. Under Code of Conduct for Solicitors RELs and RFLs (‘CCS’) 1.4, you must not mislead or attempt to mislead your clients, the court or others, either by your own acts or omissions or allowing or being complicit in the acts or omissions of others (including your client). You will be misleading the court if you allow the case to continue without the court being aware of the Case.
CCS 2.7 states: you draw the court’s attention to relevant cases and statutory provisions… of which you are aware, and which are likely to have a material effect on the outcome of the proceedings. Under CCS 2.7 you must therefore draw the Case to the court’s attention, and there is no requirement to obtain your client’s consent first. This is a matter of court procedure between you and the court.
There is a conflict here between your duty to your client under Principle 7 and your duty to uphold the constitutional principle of the rule of law (Principle 1). The introduction to the Principles states that where the Principles come into conflict, those which safeguard the wider public interest, such as the rule of law, take precedence over an individual client’s interests. It follows that your duty of confidentiality to your client does not take precedence over your duty to the court.
CCS 6.4 contains a duty on you to make your client, not the court, aware of information material to their matter of which you have knowledge.
Question 1
A client has complained about the manner in which a junior solicitor dealt with their case.
In accordance with the firm’s complaints procedure, the complaint has been passed to the
senior partner for investigation. The senior partner has a very heavy caseload and has
not been able to consider the complaint. After several weeks, having heard nothing from
the senior partner or the firm, the client takes the complaint to the Legal Ombudsman. The
Legal Ombudsman finds that the original complaint is unjustified.
What action can the Legal Ombudsman take?
A The Legal Ombudsman can take no further action against the senior partner or
the firm.
B The Legal Ombudsman may require the firm to pay compensation to the client but can
take no further action with regard to the senior partner personally.
C The Legal Ombudsman can both require the firm to pay compensation to the client and
report the senior partner to the SRA.
D The only action that the Legal Ombudsman can take is to ask the firm to apologise for
the delay in dealing with the complaint.
E The Legal Ombudsman may report the senior partner to the SRA but can take no
further action with regard to the firm.
Answer
Option C is correct. Although the complaint was unjustified, it has not been dealt with properly
and so the Legal Ombudsman may still take action, including requiring the client to be
compensated for inconvenience and so on. The senior partner is in breach of Paragraph 8.5
because the complaint has not been dealt with promptly and the Legal Ombudsman may
report the senior partner to the SRA for that reason.
Question 2
A solicitor is acting for a client in a litigation matter. Whilst the solicitor is presenting the
client’s case at the final hearing, the solicitor forgets to refer to a recently decided case that
would help the client’s case. Consequently, the judge finds in favour of the opponent.
Which of the following best explains the solicitor’s duties in this situation?
A The solicitor must not tell the client about the failure to refer to the recent case because
that would risk bringing the firm’s name into disrepute.
B The solicitor is under no obligation to tell the client about the failure to refer to the
recent case because the client has not yet indicated that they intend to bring a claim
for negligence.
C The solicitor is under no obligation to tell the client about the failure to refer to the
recent case because any loss to the client will be covered by the firm’s insurance.
D The solicitor has a duty to be open and honest with the client and so must immediately
tell the client about the failure to refer to the recent case.
E The solicitor has a duty to be open and honest with the client, but should delay telling
the client about the failure to refer to the recent case until the solicitor has discussed
the matter with the firm’s senior partner.
Answer
Option D is correct. Paragraph 7.9 requires a solicitor to be open and honest if things go
wrong so the solicitor should tell the client about the omission immediately. The duty is not
dependent on the client intending to bring a claim against the solicitor. There is no justification
for delay. It is irrelevant that the firm’s reputation may be damaged or that any claim would
be covered by insurance.
Question 3
A solicitor is instructed by a new client. In conversation at the first interview the solicitor
explains that the client has a right to complain about the solicitor’s services and charges;
how complaints may be made and to whom; and that the client has a right to make a
complaint to the Legal Ombudsman and when such a complaint could be made. The
solicitor says that they will send a letter to the client confirming the information. However,
the solicitor forgets to send the letter.
A few days later the solicitor receives a letter from the client, alleging that at the interview
the solicitor had been rude and made a sexist remark. In accordance with the firm’s
complaints procedure the solicitor hands the letter to the firm’s senior partner. The client’s
allegations about the solicitor are untrue.
Did the solicitor breach the SRA Code of Conduct for Solicitors, RELs and RFLs?
A No, because the solicitor followed the firm’s complaints procedure.
B No, because the solicitor provided the client with all the information about complaints
required by the Code.
C No, because the solicitor was not rude and did not make a sexist remark.
D Yes, because the client is unhappy with the legal services they have received.
E Yes, because the solicitor did not provide the information about complaints in writing.
Answer
Option E is correct. The solicitor acted correctly at the interview and properly complied with
the complaints procedure. The solicitor provided all the required information about costs, but,
in breach of Paragraph 8.3 did not provide that information in writing. The fact that the client
is unhappy does not of itself place the solicitor in breach of the Code.
Question 1
A solicitor’s husband is caught by a speed camera travelling in his car at 100 mph on a 40
mph road. The husband already has several points on his driving licence and so, to avoid
the husband being disqualified from driving, the solicitor makes a false statement to the
police stating that she was driving the car at the time of the speeding offence.
The solicitor has been qualified for six months and works in her firm’s commercial property
department.
Which of the following statements best describes the professional conduct sanctions
that the solicitor is likely to face?
A The solicitor will face mild sanctions in view of her junior status.
B The solicitor will face no sanctions because the SRA Principles do not apply to a
solicitor’s private life.
C The solicitor will face mild sanctions because speeding is a minor offence.
D The solicitor will face mild sanctions for failing to uphold public trust and confidence in
the solicitors’ profession.
E The solicitor will face severe sanctions for acting dishonestly.
Answer
Option E is correct. The SRA Principles apply both inside and outside practice. The conduct
issue here is the making of the false statement. In making a false statement the solicitor has
acted dishonestly. Dishonesty is always regarded as serious and will attract severe sanctions.
The solicitor’s junior status is a relevant factor, but is unlikely to result in mild sanctions given
such a deliberate and flagrant breach of Principle 4 (and Principles 2 and 5 and, arguably,
Principle 1 by making a false statement to the police).
Question 2
A solicitor is instructed by a client in relation to a commercial contract. The solicitor attends
a meeting with the other party’s solicitor to negotiate the terms of the contract. Later that
day, the solicitor tells the client that they will immediately produce a written note of what
was said at the meeting. The solicitor fails to make the written note.
Some months later, a disagreement arises over the implementation of one of the terms
of the contract and the client believes that having sight of exactly what was said at the
meeting will resolve the disagreement. The client contacts the solicitor asking for the
written note.
The solicitor cannot recall the meeting in detail, but types up a note of what the solicitor
thought must have been discussed and presents it to the client, dated with the date of the
meeting.
Has the solicitor acted in accordance with the SRA Principles?
A Yes, because the solicitor has acted honestly in taking the best course of action that
they could in the circumstances.
B Yes, because the solicitor’s duty to act in the best interests of the client outweighs all
other considerations.
C Yes, because the solicitor’s actions have saved their firm from professional
embarrassment.
D No, because the solicitor has not acted with integrity.
E No, because the solicitor has not acted with independence.
Answer
Option D is correct. In producing a backdated note and presenting it to the client as if it were
an accurate record made a year earlier, the client has not acted with integrity (the solicitor
has probably additionally breached Principle 2 and Principle 4). The solicitor’s independence
is not an issue of the facts (option E is therefore wrong). Producing a note which may well be
inaccurate is unlikely to be in the client’s best interests and in any event, Principle 7 does not
outweigh all other considerations (option B is therefore wrong). Option C is wrong because
acting simply in order to avoid professional embarrassment would not be complying with the
Principles.
Question 3
A client instructs a solicitor to carry out the conveyancing work on the sale of a house. The
client has put the house on the market for an asking price of £500,000. The solicitor thinks
that the asking price is cheap. The solicitor suggests to his wife that she should buy the
house. The solicitor’s wife buys the property for £500,000 and sells it three months later,
making a profit of £75,000.
Which of the following best describes the professional conduct implications of the
solicitor’s actions?
A The solicitor did not do anything wrong because the client achieved their objective of
selling the house.
B The solicitor’s actions are likely to diminish public trust and confidence in the solicitors’
profession because a profit has been made at the client’s expense.
C The solicitor did not do anything wrong because the client did not suffer a loss.
D The solicitor acted with integrity because the solicitor did not make a profit himself.
E The solicitor acted in the client’s best interests in securing the price the client wanted
for the house.
Answer
Option B is correct. The solicitor placed his own interests and those of his family above those
of a client. The solicitor’s wife has made a profit at the client’s expense. Such behaviour is
likely to diminish public trust and confidence in the profession and therefore breach Principle
2. The solicitor has not acted with integrity in making a profit for his family and so has
breached Principle 5 (accordingly, option D is wrong). The client has achieved the objective
of selling the house, but the solicitor did not act correctly (option A is wrong). The solicitor is
in breach of Principle 2 irrespective of the fact that the client has not suffered a loss and was
paid the asking price (accordingly, options C and E are wrong).
Question 1
A solicitor is invited by the manager of a local care home to give an informative talk to the
home’s elderly residents on the importance of making a will. The solicitor gives the talk
to those residents who have expressed an interest in the subject matter and, in doing so,
presents an even- handed and accurate explanation of the advantages and disadvantages
of making a will. At the end of the talk the solicitor hands out leaflets advertising the
solicitor’s firm’s will drafting services. The solicitor also offers to draw up a will there and
then for any residents that would like the solicitor to do so.
Which of the following best describes the consequences of the solicitor’s actions under
the SRA Code of Conduct for Solicitors, RELS and RFLs?
A All of the solicitor’s actions breach the Code because they are unsolicited approaches
to members of the public.
B The solicitor is unlikely to have done anything wrong in giving the talk, but handing out
the leaflets and offering to draw up wills breach the Code as unsolicited approaches
to members of the public.
C The solicitor is unlikely to have done anything wrong in giving the talk and handing
out the leaflets, but offering to draw up wills breaches the Code as an unsolicited
approach to members of the public.
D None of the solicitor’s actions breach the Code because making a will is in the client’s
best interests.
E None of the solicitor’s actions breach the Code because the solicitor has acted
in response to the manager’s invitation and so the solicitor’s approaches are not
unsolicited.
Answer
Option B is correct. Giving an informative and even- handed talk to an interested audience
is unlikely to breach the Code (option A is therefore wrong). But in going beyond this the
solicitor is publicising services through a targeted and intrusive approaches to members of
the public, and consequently is in breach of Paragraph 8.9 (the solicitor may also be criticised
for taking advantage of a vulnerable client (see 4.4.3)). Option E is wrong; the approaches
are unsolicited by the ultimate clients and so the manager’s invitation is irrelevant. Option D
is wrong; it may be a good idea for the client to make a will, but this does not absolve the
solicitor of their obligations under Paragraph 8.9.
Question 2
A solicitor has been acting in a divorce case for a successful local businessman. The
divorce case is now at an end. The firm’s senior partner tells the solicitor to telephone the
businessman in order to promote the firm’s corporate department in the hope that the
businessman will transfer the corporate work arising from his various business interests from
his current lawyers to the solicitor’s firm.
Which of the following best explains what the solicitor should do?
A Make the telephone call because any breach of the SRA Code of Conduct for Solicitors,
RELs and RFLs will be the senior partner’s responsibility.
B Make the telephone call because such a call would not constitute an unsolicited
approach to a member of the public.
C Refuse to make the telephone call because such a call would constitute advertising.
D Refuse to make the telephone call because the solicitor no longer acts for the client.
E Refuse to make the telephone call because the solicitor could not make such a call and
comply with their duty to act with integrity.
Answer
Option B is correct. Paragraph 8.9 prohibits a solicitor making unsolicited approaches to
members of the public. However, a former client is an exception (accordingly, option D is
wrong). There is nothing inherent in the making of the call which would place the solicitor in
breach of the duty to act with integrity (option C is wrong). Solicitors are able to advertise.
Option A is wrong – a solicitor is personally accountable for compliance with the SRA Code of
Conduct for Solicitors, RELs and RFLs.
Question 3
An estate agent is undertaking a marketing campaign trying to acquire new clients by
making targeted face- to- face visits to properties in the area worth over £1 million to see if
the owners are willing to sell.
The estate agent contacts a solicitor and suggests that it would be mutually beneficial
for the estate agent to recommend to all clients acquired from the campaign that they
instruct the solicitor to do the conveyancing work for them. The estate agent suggests that in
return they are paid 1% of the solicitor’s conveyancing fees for each client who instructs the
solicitor as a result of the recommendation.
The solicitor agrees to the estate agent’s suggestion and they enter into a written
agreement to that effect. The agreement provides that every client must be informed of the
estate agent’s financial interest in making the recommendation.
Does the agreement breach the SRA Code of Conduct for Solicitors, RELs and RFLs?
A No, because the agreement is in writing.
B No, because every client is informed of the estate agent’s financial interest in making
the recommendation.
C No, because the solicitor is not making any direct approach to the clients.
D Yes, because solicitors are not permitted to share their fees.
E Yes, because the estate agent is acquiring the clients by making unsolicited
approaches to members of the public.
Answer
Option E is correct. Solicitors are permitted to enter into fee- sharing arrangements of this kind
(as a result option D is wrong). Such agreements must be in writing (Paragraph 5.1(c)) and
clients must be informed of the introducer’s financial interest (Paragraph 5.1(a)). However, the
solicitor must ensure that clients are not recruited in a way which would be in breach of the
Code of Conduct for Solicitors if done by the solicitor themselves (Paragraph 5.1(e)).
Here the clients are being recruited by cold calling and so the solicitor is in breach of
the Code of Conduct for Solicitors (Paragraph 8.9).
Question 1
A solicitor is instructed by a long- standing client to draw up the client’s will. The client’s
instructions are that, in recognition of all the work the solicitor has done for the client over
the years, the will is to include a legacy of £10,000 to the solicitor.
Which of the following best describes what the solicitor should do?
A Refuse to draw up the will.
B Draw up the will, but omit the legacy.
C Draw up the will, as instructed, after the client has taken independent advice.
D Draw up the will, but make the legacy payable to the solicitor’s children.
E Draw up the will, as instructed, after giving the client the details of local solicitors able
to advise on wills.
Answer
Option C is correct. The guidance from the SRA is that usually a solicitor should refuse to act
where the client is proposing to make a significant gift to the solicitor or a family member etc
unless the client agrees to take independent advice. It is not sufficient simply to give the client
details of other solicitors (option E is wrong). The solicitor should not take it upon themselves
to deviate from the client’s express instructions (options B and D are wrong). Option A is
wrong because it would be premature to refuse to draw up the will at this stage – the client’s
instructions can be accommodated if the client agrees to take independent advice.
Question 2
A father and daughter are buying a property together. The daughter instructs a solicitor
to deal with the purchase on their joint behalf. The daughter explains that the father is
elderly and too frail to attend at the solicitor’s office. The daughter tells the solicitor that
the property is to be held by them as beneficial joint tenants, but that the father will be
providing all the money for the purchase price. The daughter says that they are buying the
property so that the daughter can move in to live with the father and care for him in his
old age.
Should the solicitor act on the daughter’s instructions and immediately proceed with the
purchase?
A No, because a solicitor cannot accept instructions from a third party in any
circumstances.
B No, because the solicitor has reason to suspect that the instructions do not represent
the father’s wishes.
C Yes, because the daughter alone is the client.
D Yes, because proceeding with the purchase is in the father’s best interests.
E Yes, because, as the father’s carer, the daughter is automatically authorised to give
instructions on his behalf.
Answer
Option B is the best answer. The solicitor is being instructed by joint purchasers (option C
is wrong). The solicitor can accept instructions from a third party who is authorised to give
those instructions (option A therefore overstates the matter). However, the daughter’s status
as a carer would not give her that authority (option E is therefore wrong). The father’s age,
frailty and the fact that he alone is providing the entire purchase price mean that there
is reason to suspect that the instructions do not represent the father’s wishes (option D
therefore does not represent the best answer). The solicitor should not proceed until they
have satisfied themselves that the instructions do accord with the father’s wishes. The solicitor
cannot establish that the purchase is in the father’s best interests until the father’s wishes are
established
Question 3
A female solicitor is instructed by a male client in an acrimonious litigation matter. The
case progresses properly for two months. Then the solicitor receives a letter from the client
saying that the client has come to the view that women are too weak for robust litigation.
The client goes on to say that he has now instructed a male solicitor in a different firm. The
client asks for his file to be transferred to his new solicitor without delay.
On looking at the client’s file the solicitor sees that there are fees outstanding of £2,000 for
the work that the she has completed to date on the case.
Which of the following best describes the professional conduct position?
A The client cannot terminate the retainer because his grounds are discriminatory.
B The solicitor can retain the file until her proper fees are paid.
C The client cannot terminate the retainer because the solicitor has dealt with the case
properly to date.
D The solicitor must transfer the file to the new solicitor immediately, but is entitled to be
paid her proper fees.
E The client cannot terminate the retainer because he has not given reasonable notice to
the solicitor.
Answer
Option B is correct. The solicitor has a lien over the file until her proper fees are paid. Option
D is wrong because the solicitor is under no obligation to hand the file over until payment
unless ordered to do so by the court (although the solicitor may agree to hand over the file).
Options A, C and E are wrong – a client has the right to terminate the retainer at any time
and for any reason.
Question 1
A solicitor receives a telephone call from a client complaining about the bill which the
solicitor sent to the client last week. The client wants the bill reduced, but the solicitor thinks
that the bill is entirely justified.
Which of the following best describes what the solicitor should do?
A Tell the client to take the complaint to the Legal Ombudsman.
B Ask the court to assess the bill.
C Refer the client to the firm’s complaints procedure.
D Warn the client that the firm will charge a set fee for dealing with the complaint.
E Sue the client for the full amount of the bill.
Answer
Option C is correct. Complaints should be dealt with following the firm’s complaints procedure
(option A accordingly is not the best answer). It is only appropriate to involve the Legal
Ombudsman if the complaint cannot be concluded to the client’s satisfaction following the
firm’s complaints procedure. Complaints must be dealt with free of charge (option D is
therefore wrong). Having costs assessed by the court is the right of the client, not the solicitor
(option B is wrong). Option E is not the best answer as to sue the client is clearly premature.
Question 2
A solicitor is instructed by a new client in relation to an acrimonious divorce. The breakdown
of the marriage is very recent and, when giving instructions at the first meeting with the
solicitor, the client becomes distressed.
The solicitor’s costs will be dealt with on the basis of an hourly charging rate. However,
given the complexity of the case it is not possible for the solicitor to give an accurate
estimate of how much the case, as a whole, will cost.
Which of the following best describes how the solicitor should deal with the question
of costs?
A During the meeting the solicitor should tell the client about the hourly charging rate.
B The solicitor should say nothing about costs as this will only cause the client more
distress.
C During the meeting the solicitor should tell the client about the hourly charging rate and
warn that the overall cost will run into many thousands of pounds.
D During the meeting the solicitor should tell the client about the hourly charging rate and
set a date for reviewing costs.
E During the meeting the solicitor should explain that an accurate estimate cannot be
given for the overall cost of the case.
Answer
Option D is correct. Paragraph 8.7 requires the solicitor to ensure that the client receives the
best possible information about how the matter will be priced and the likely overall cost of
the matter. On these facts this would require the solicitor to explain the hourly charging rate
as the basis of the charge (options B and E are therefore wrong). Additionally, as no accurate
estimate can be given for the overall costs, the solicitor should set a date for reviewing costs
(setting a costs ceiling would be an acceptable alternative). By simply referring to the hourly
charging rate, option A does not go far enough. Finally, option C is not the best answer.
Saying that the overall cost will be ‘many thousands of pounds’ is too vague and unhelpful to
qualify as best possible information.
Question 3
A solicitor refers a client to a surveyor for advice on some structural damage to the client’s
property. This is the first client that the solicitor has referred to this particular surveyor.
Following the referral the solicitor is surprised to receive £150 from the surveyor. The
surveyor explains that their usual practice is to pay £150 commission for any referral as a
gesture of goodwill.
Which of the following best explains what the solicitor should do about the £150?
A There is no need to tell the client about the £150 because it is a private matter
between the solicitor and the surveyor, so the solicitor can just keep the payment.
B The solicitor must tell the client about the £150, but the solicitor is entitled to keep the
payment because it was just a gesture of goodwill.
C The solicitor must immediately return the £150 because solicitors are not permitted to
receive commission fees under any circumstances.
D The solicitor must tell the client about the £150, and keep the payment, if the client
agrees.
E The solicitor must immediately pay the £150 to the client.
Answer
Option D is correct. Paragraph 5.1 requires a solicitor to inform the client of any financial
benefit the solicitor has in referring the client to another person. The client must therefore be
told about the payment (option A is accordingly wrong). Paragraph 4.1 requires a solicitor
to account to the client for any financial benefit received, unless the client agrees otherwise.
Option B therefore is wrong in that the solicitor can only keep the payment with the client’s
agreement. Option C is wrong in stating that the solicitor must return the payment – the money
will either go to the client or remain with the solicitor, depending on whether or not the client
agrees that the solicitor can keep the money.
However, there is no requirement to actually pay it to the client. The solicitor can keep the
payment with the client’s consent. Option E therefore is not the best answer.
