Brainscape's Knowledge GenomeTM

Browse over 1 million classes created by top students, professors, publishers, and experts.


See full index

Ethics > SRA > Flashcards

SRA Flashcards

1
Q

What are the 7 principles?

A
  1. Uphold rule of law and admin of justice
  2. Uphold public trust
  3. Independence
  4. Honesty
  5. Integrity
  6. EDI
  7. Best interests
How well did you know this?
1
Not at all
2
3
4
5
Perfectly
2
Q

Where principles conflict, which takes precedence?

A

Whichever safeguards public interests instead of individual clients

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

What will the SRA always investigate?

A

Criminal offences (misleading/contempt court esp)

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

Re complaints - what should firms provide and when/how?

A

In WRITING at time of engagement:
1. Complaints procedure
2. Right to complain to LeO and when

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

Under SRA Transparency Rules, where should info re complaints procedure be?

A

Website or if haven’t got one, on request

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
6
Q

If complaint not resolved to client’s satisfaction within 8 weeks, what must you do?

A

WRITE to client to inform of:
1. Right to LEO, how to and timeframe; and
2. That solicitor cannot settle, name and site of ADR approved mediator, and whether agree to ADR.

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

When can a client go to LeO?

A

8 weeks after trying internal complaints procedure

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
8
Q

What gives rise to a right to go to LeO?

A

Services not to standard reasonably expected
(inc offered/refused)
No need loss

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
9
Q

Who can use LeO?

A

Individuals, micro-entities, charities, personal representatives, clubs and associations with under 1 mil annual income

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

When can someone go to LeO without internal complaints?

A

LEO considers exceptional reasons
LeO considers not possible due to irretrievable breakdown

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
11
Q

Deadline for complaining to LeO

A

One year from act or omission
or
One year since reasonably knew grounds for complaint

(LeO has discretion)

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

LeO steps after complain

A

Informal resolution
Investigation if necessary
Hearing if only way to deal fairly

Then send a determination to parties

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

What can LeO direct solicitor to do?

A
  1. Apologise
  2. Compensation
  3. Put right omission/error
  4. Take specified action in interests of claimant
  5. Pay claimant’s costs for pursuing
  6. Limit/remit their fees
How well did you know this?
1
Not at all
2
3
4
5
Perfectly
14
Q

Compensation limit - LeO

A

£50k

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

Is a LeO decision binding? (…)

A

Yes - enforceable by High Court or county court

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

Can a LeO and SRA decisions be published?

A

Yes

17
Q

When will LeO inform SRA?

A

ALLEGED professional misconduct

18
Q

What are the three steps for the SRA’s Assessment Threshold test?

A

Investigate if:
1. Breach of its standards/regulations
2. Which could result in regulatory action
3. Can be proved

19
Q

How do SRA notify of investigation?

A

Firm and solicitor told relevant info and timeframe to respond with written recommendations

20
Q

What four actions can SRA take if find misconduct?

A
  1. Issue advice or warning
  2. Financial penalty or written rebuke
  3. Control how practice
  4. Refer to SDR
21
Q

Does SRA or LeO have strike-off powers?

A

No

22
Q

When would SRA refer to SDT?

A

Striking off and very serious/unusual misconduct (sexual misconduct/client monies)

23
Q

Max penalty SRA to solicitors?

A

25k

24
Q

Can anyone go straight to SDT before SRA?

A

Unless Solicitors Act provides, yes

25
Q

What does SDT not do?

A

Investigation or collecting evidence

26
Q

Powers of SDT

A

Strike off
Suspension
Unlimited fine (to HMRC)
Rebuke
Pay/contribute to costs

27
Q

What can court discipline solicitor over?

A

Costs (in any matter)
Duty of care

28
Q

Can SRA and LeO adjudicate on neglignece?

A

Not in legal sense but if overlaps with professional misconduct, yes
Mainly LeO where powers enough to compensate

29
Q

Can you use LeO and courts at same time for negligence?

A

Yes

30
Q

What should a solicitor do when things go wrong?

A
  1. Full and prompt explanation
  2. Correct where possible
31
Q

What may SRA require a solicitor to do when made an error?

A

Investigate if anyone has claim against them, provide report to SRA, notify relevant persons and if need independent legal advice

32
Q

What should SRA compensation fund be used for?

A

Last resort if:

  1. Money stolen/not accounted for due to someone regulated by SRA
  2. Relieve SRA regulated bodies who should have had insurance but didn’t
33
Q

Maximum amount SRA Compensation Fund?

A

£2m per claim or £5m in multiple claims

34
Q

What should clients be made aware of in times of hardship/where required?

A

Entitlement to SRA compensation fund (/ regulatory protections)

35
Q

Difference between what SRA and LeO deal with

A

SRA - misconduct
LeO - complaints

36
Q

What would offensive comms and derogatory to other side engage?

A

Public trust

37
Q

What is the SRA’s two stage test for dishonesty?

A
  1. Solicitor’s genuine belief at time
  2. Based on that, would reas person have done what they did?
38
Q

Potential own interest conflicts which may arise to solicitor in practice in wills and what should do

A

(is or is significant risk of own interest conflict - solicitor should not act)

  • wish solicitor act as executor under will
  • potential cos will want to charge for this service
  • ensure client full informed, explain options and record that

Ethics (4 decks)

Brainscape helps you reach your goals faster, through stronger study habits.
© 2024 Bold Learning Solutions. Terms and Conditions