Specific

Question 1

Where are the SRA Code of Conduct for solicitors and firms found?

Answer 1

Included in SRA standards and regulations

Question 2

What is the importance of tone and timing in responding to a client?

Answer 2

Extremely important

Question 3

How should a response to a client be characterized?

Answer 3

Prompt, professional, accountable, and client-focused

Question 4

What should be included when restating the details of a complaint?

Answer 4

In a neutral way, avoiding emotive language

Question 5

What should be outlined regarding the investigations undertaken?

Answer 5

The investigations undertaken to consider the complaint

Question 6

What should be stated as a result of the investigation?

Answer 6

The findings resulting from the investigation

Question 7

What should be offered to the client as a remedy?

Answer 7

Offers of remedy and explanation on how to accept those remedies

Question 8

What should be explained about improvements made by the practice?

Answer 8

Any improvements made as a result of the complaint

Question 9

How should the client’s value be reaffirmed?

Answer 9

Re-affirm the client’s value to the practice and commitment to good client service

Question 10

What should be outlined if the client remains dissatisfied?

Answer 10

Appeal avenues

Question 11

What is the primary function of the Legal Ombudsman?

Answer 11

To investigate and adjudicate complaints against those providing legal services

The Legal Ombudsman is an independent body that handles complaints related to legal services.

Question 12

What is the emphasis of the arrangements made by the Legal Ombudsman?

Answer 12

Speed and informality

The goal is to resolve complaints by agreement rather than through a quasi-judicial process.

Question 13

What happens if an agreed resolution is not possible?

Answer 13

One of the team of eight ombudsmen will make a decision

This decision is legally binding once accepted by the complainant.

Question 14

On what basis is the decision made by the Legal Ombudsman?

Answer 14

On a judgment based on what is fair and reasonable in the circumstances

The decision is not based on legal precedent or regulation.

Question 15

How does the Legal Ombudsman define a complaint?

Answer 15

An oral or written expression of dissatisfaction alleging financial loss, distress, inconvenience, or other detriment

This definition includes various forms of dissatisfaction.

Question 16

Who is authorized to make a complaint to the Legal Ombudsman?

Answer 16

Individuals, small businesses, charities, clubs, societies, associations, trustees, and personal representatives and beneficiaries of an estate

These categories encompass a wide range of potential complainants.

Question 17

Will the Legal Ombudsman consider complaints previously handled by other organizations?

Answer 17

No, unless new evidence has come to light that might affect the outcome

This includes complaints previously considered by the Legal Complaints Service.

Question 18

What must complainants do before referring their complaint to the Legal Ombudsman?

Answer 18

Try to resolve their complaint via the firm’s complaints handling process

This is typically required unless the firm takes more than eight weeks to resolve the complaint.

Question 19

Fill in the blank: The Legal Ombudsman will not consider complaints that were considered by previous complaints handling organizations unless _______.

Answer 19

new evidence has come to light

Question 20

True or False: The decision made by the Legal Ombudsman is based on legal precedent.

Answer 20

False

Decisions are based on fairness and reasonableness, not legal precedent.

Question 21

What is the maximum time a firm can take to resolve a complaint before the complainant can refer it to the Legal Ombudsman?

Answer 21

Eight weeks

If a firm exceeds this timeframe, the complainant may escalate the issue.

Question 27

Cilex code of conduct structure

Answer 27

Sets out 9 key principles supported by outcomes which must be met

Question 28

What must solicitors and staff working in law firms regulated by SRA comply with?

Question 33

Attendance note structure

Answer 33

Logical structured Use headings Set out clients proposed action Relevant time limits Conform to house style Sufficient detail Listen to recording Organise material (use of checklist in interview) Headings and paragraphs Record precise legal advice given If not can risk professional negligence with no effective defence Follow firms conventions when drafting i.e. initials Precise legal costs quote/estimation excluding VAT? Record provisos or qualification on advice/ costs ie..review of quote if complications arise. Next steps of all involved Record time.spent I'm interview and attendance note Write to client after meeting and confirm instructions and course of action

Question 34

Strategies for difficult interviews

Answer 34

Prepare client by summarising current position deliver news simply without fuss. Allow client to process before discussing further Anticipate why client may not accept advice to come up with strategy for managing interview. Imagine objections in advance planning how to persuade If client disagrees little you can do. Consider if right to appeal

Question 35

Dealing with more than one client and one takes the lead

Answer 35

If dealing with more than one client may be that one client takes more of a lead than others try and involve all, owe a duty to act in best merits of each client and do best so all wishes heard. .if difficulty all agreeing try help them come to agreed conclusion using negotiation techniques. Go away and consider options if not getting anywhere. Once action agreed even if go away and think you should set list of objectives to be completed by time of next meeting or contact with client. Yourself and client must understand what actions need to be taken following meeting and limits set, inform client you will write to them and outline agreed objectives and set a date for next meeting or catch up.

Question 36

Follow up meetings

Answer 36

Give client full picture of progress Advise clien best course of action

Question 37

What should client care letter include

Answer 37

Present clear straight info Specific communication challenges considered No legal language Highlight key info early on Use clear font No smaller than 11 point type make use of headings and bullet points Only include t&cs which apply to specific retainer

Question 38

What does client care letter do?

Answer 38

Sets out standards client can expect from the firm Each firm can adopt own Can include t&c in client care letter will extend pages or brief letter terms appended

Question 39

Ending interview

Answer 39

If All advice given then end. Ask client if they wish to instruct lawyer Ensure they have clear idea of action lawyer will take on their behalf Inform who is responsible for case Clear on contact info Confirm actions client to take and time frames for completion Any other question

Question 40

What consists of advice?

Answer 40

Legal and non legal, practical, funding, ADR considerations, procedures, risks evidence that needs to be provided any services firm cannot provide. If only preliminary advice can be given made clear. Law clearly explained and how applies to case. If more than one option available to client and advantages and disadvantages of each Clear time limits for client actions Any further info required before advice can be given make clear what is required and whose responsibility to obtain Done in a way client understands, no jargon when explaining legal concept Advice must be case specific As part of professional duties info that professional bodies require to be given to client.

Question 41

Potential consequences of breaches of Cilex code conduct or SRA Code conduct for sols

Answer 41

May result in firm investigated by cilex regulation and or SRA

Question 43

Key info attendance note

Answer 43

Content to include: 1. All details of discussion 2. Details of proposals made by each party 3.Solutions reached if any 4 Next steps Use headings, relevant information only. Not script.

Question 44

Business letter drafting points

Answer 44

Address/contact of firm keep left Your ref: blank Client name, title, initial surname Heading i bold Sign off known name yours sincerely- give your own title