Revision Guide

Question 1

What are the 7 mandatory principles?

Answer 1

A solicitor must act:
1. In a way that upholds the rule of law + the proper administration of justice
2. In a way that upholds public trust in the solicitors’ profession
3. With independence
4. With honesty
5. With integrity
6. In a way which encourages equality, diversity, and inclusion
7. In the best interests of each client

Question 2

Which Principle takes precedence if two Principles come into conflict?

Answer 2

The Principle which safeguards the wider public interest.

Question 3

What is an undertaking?

Answer 3

A written or oral statement by a solicitor or a member of the firm that they will do something.

A solicitor is personally bound by an undertaking + it can be enforced in court.

Question 4

What obligation do solicitors have towards clients and employees who are disabled?

Answer 4

Obligation to provide reasonable adjustments to ensure they are not placed at a substantial disadvantage compared to those who are not disabled.

Question 5

What payment may a solicitor make to a witness in a DR case?

Answer 5

May not pay a witness for testifying a certain way or making payment dependent on a certain outcome of the case (no success fee).

However, a solicitor may pay a witness for legitimate travel expenses + lost wages.

Question 6

What happens if a criminal defendant tells the solicitor that they committed the crime charged but nevertheless wants to plead not guilty?

Answer 6

The solicitor may represent them provided the client doesn’t make statements or give evidence asserting innocence.

Question 7

What must a solicitor do if they discover their client committed perjury while testifying?

Answer 7

They must immediately urge the client to tell the truth and refuse to continue representing the client if they do not agree.

Question 8

Who can a solicitor take instructions from if representing 2 people jointly?

Answer 8

The clients may direct the solicitor to take instruction only from one of them and the solicitor may follow this instruction so long as the solicitor ensures the other client truly agrees.

Question 9

What happens if a person holding a valid power of attorney for a mentally incompetent client instructs a solicitor to execute a transaction the solicitor doesn’t believe is in the best interests of the mentally incompetent person?

Answer 9

The solicitor should refuse the instruction, as the original client remains the client + the solicitor owes a duty to look after the client’s best interests.

Question 10

What is the duty of competent representation?

Answer 10

A solicitor cannot accept instruction regarding issues about which they’re unfamiliar if they will not be able to timely gain the necessary knowledge.

Question 11

What is the rule re solicitors receiving financial benefits as a result of client instructions?

Answer 11

A solicitor must account to a client unless the client has already agreed otherwise.

Thus, a solicitor may keep a fee paid to the solicitor for referring a client to an ancillary service provider, such as an estate agent, only if the solicitor informs the client + the client agrees.

Question 12

When can a solicitor not pay/receive a referral fee?

Answer 12

In criminal cases or personal injury cases.

Question 13

When may a solicitor refer a client to a company for ancillary services if they own an interest in the other business?

Answer 13

Only if the solicitor informs the client of the interest + the client consents

Question 14

May a solicitor agree to share fees with a non-solicitor?

Answer 14

Yes, if the solicitor informs the client of the interest, the fee-sharing agreement is in writing, and the case is not criminal in nature and doesn’t involve a PI/death claim.

Question 15

What insurance must a solicitor have?

Answer 15

Adequate indemnity insurance

Question 16

What happens if a solicitor works at a charity and plans to carry on both reserved + other legal activities?

Answer 16

Must ensure the charity takes out indemnity insurance with respect to all the solicitor’s services.

Question 17

What duties does a firm’s Compliance Officer for Legal Practice (COLP) have?

Answer 17

Duty to ensure that:
1. All persons in the firm comply with applicable SRA regulations
2. A prompt report is made regarding any serious breaches of any applicable SRA regulations
3. The SRA is informed promptly of matters the COLP reasonably believes should be brought to the SRA’s attention for investigation.

Question 18

What duties does a firm’s Compliance Officer for Finance and Administration (COFA) have?

Answer 18

Duty to ensure that:
1. All persons in the firm comply with obligations imposed on them by the SRA Accounts Rules,
2. A prompt report is made regarding any serious breach of the SRA’s Accounts Rules,
3. The SRA is informed promptly of matters the COFA reasonably believes should be brought to the SRA’s attention for investigation

Question 19

What should a solicitor do if a conflict is discovered before a retainer is taken?

Answer 19

Solicitor may take instruction from only one client (typically one they are already representing)

Question 20

What should a solicitor do if a conflict arises during the retainer?

Answer 20

Solicitor should inform the clients and consider whether they may continue to act for both clients.

Note - clients may not consent to the solicitor continuing if there is a conflict.

Question 21

How might a conflict be avoided?

Answer 21

Limited retained - solicitor agrees to act only with respect to issues in which there is no conflict

Question 22

When may a solicitor include a gift when the client wants to leave a gift for the solicitor in their will ?

Answer 22

If the gift is not significant (either in itself, or in relation to the client’s estate)

If the solicitor is related to the client and is being treated similarly to other relatives of the client

If the client has taken independent legal advice with respect to the gift

Question 23

What are the 2 exceptions that allow a solicitor to act despite a conflict between clients?

Answer 23

1. A solicitor may act for 2 clients if they have a substantially common interest, e.g., 2 people who want to form a company/purchase land jointly
2. Solicitor may act for 2 clients with a conflict if they are competing for the same objective (e.g., purchase the same asset)

Question 24

What conditions are needed for the ‘substantially common interest’ or ‘competing for the same objectives’ exceptions to apply when there is a conflict of interest?

Answer 24

i. The solicitor obtains both clients’ informed consent in writing

ii. where appropriate, the firm effectively safeguards each client’s confidential information, and

iii. it must be reasonable for the solicitor to act for all the clients.

Question 25

When is a breach of the duty of confidentiality justified?

Answer 25

1. If the breach is necessary to prevent the commission of a criminal offence that will result in serious bodily harm.
2. If it is necessary to protect a vulnerable person.

Question 26

When will there be no breach of the duty of confidentiality?

Answer 26

When:
i. the client consents to disclosure
ii. disclosure is permitted or required by law (e.g.. statutory duty or court order)
iii. the solicitor is being used by the client to perpetrate a crime/fraud

Question 27

What may a firm do if a client asks a firm to represent them in a matter adverse to a former client, about whom the firm holds confidential information material to the new client?

Answer 27

1. Accept the new client if the firm takes effective measures so that there is no real risk of disclosure of former client confidential information.
2. Obtain the former client’s informed consent, given or evidenced in writing,
3. Decline to act for the new client.

Question 28

What events must be reported to the SRA?

Answer 28

i. solicitor becomes insolvent
ii. solicitor is charged with a criminal offence, even a minor one,
iii. there has been a change in the information that the solicitor previously provided to the SRA that will make the previous information false or misleading,
iv. solicitor receives a criminal caution from the police.

Question 29

What happens if a solicitor at a firm becomes aware that another solicitor in the firm has committed a serious breach of a regulatory arrangement?

Answer 29

the solicitor must report the matter to the firm’s compliance officer for legal practice (COLP) on the understanding that the COLP will report the matter to the SRA, even if the activities are outside of work.

Solicitor need not follow up with the COLP to ensure they acted unless the solicitor knew the COLP wouldn’t act on the matter.

Question 30

What should a solicitor do if they accidentally disclose extremely sensitive client information to a third party?

Answer 30

1. Ask the third party to return or destroy the information
2. Report the disclosure to the firm’s COLP and the client.

Question 31

How must a solicitor/firm inform their client of their complaints procedure?

Answer 31

At the outset of the retaining, the client must be informed in writing of the procedure, including:
> the right to complain about services or charges,
> how and when complaints can be made, and
> rights to take complaints to the Legal Ombudsman

Question 32

What are some necessities of a complaint procedure?

Answer 32

1. Should start with the solicitor or their firm
2. Complaints must be handles promptly, fairly, and free of charge,
3. If not resolved within 8 weeks, the firm must inform the client in writing of any right to complain to the Legal Ombudsman and the procedure for doing so.