Undertakings, Court Conduct and Professional Obligations Flashcards
Q: What is an undertaking in legal practice?
A) A formal contract between a solicitor and their client
B) A binding promise to do or not do something that someone reasonably relies on
C) A non-binding statement of intent
D) A requirement to act in a client’s best interest
B) A binding promise to do or not do something that someone reasonably relies on
Q: Which of the following is true about undertakings?
A) They must be in writing and use the word “undertaking”
B) They can be oral and do not need to include the word “undertaking”
C) They can be withdrawn at any time without agreement
D) Only senior solicitors can give undertakings
B) They can be oral and do not need to include the word “undertaking”
Q: What happens if a solicitor fails to perform an undertaking?
A) No consequences unless the client complains
B) It is considered a serious disciplinary offence
C) The solicitor can rectify it within six months with no penalty
D) The solicitor must get court approval before correcting it
B) It is considered a serious disciplinary offence
Q: Who in a law firm can give an undertaking?
A) Only partners and senior solicitors
B) Anyone in the firm, including junior solicitors and secretaries
C) Only solicitors with 5+ years of experience
D) Only the compliance officer for legal practice (COLP)
B) Anyone in the firm, including junior solicitors and secretaries
Q: What does “SMART” stand for when drafting undertakings?
A) Simple, Measured, Agreed, Reasonable, Timely
B) Specific, Measured, Agreed, Realistic, Timed
C) Strategic, Managed, Accurate, Reliable, Tracked
D) Solicitor, Money, Account, Record, Terms
B) Specific, Measured, Agreed, Realistic, Timed
Q: What does CCS 1.3 require solicitors to do regarding undertakings?
A) Perform all undertakings within the agreed or reasonable timeframe
B) Seek court approval before acting on an undertaking
C) Ensure undertakings are conditional
D) Only act on undertakings if the client insists
A) Perform all undertakings within the agreed or reasonable timeframe
Q: What is a potential consequence for a solicitor who breaches an undertaking?
A) They may be personally sued for the amount promised in the undertaking
B) The undertaking is automatically voided
C) The SRA takes no action unless a complaint is made
D) They can transfer the obligation to another solicitor
A) They may be personally sued for the amount promised in the undertaking
Q: What was the key ruling in Harcus Sinclair v Your Lawyers [2021] UKSC 32?
A) The courts have no jurisdiction to enforce undertakings against incorporated practices
B) Undertakings given by incorporated practices are automatically void
C) The SRA cannot regulate undertakings given by solicitors
D) Oral undertakings are not binding
A) The courts have no jurisdiction to enforce undertakings against incorporated practices
Q: What does Section 50(1) of the Solicitors Act 1974 establish?
A) Solicitors are “Officers of the Court” and must conduct themselves properly
B) Solicitors must report all clients suspected of criminal activity
C) Solicitors must always act in their client’s best interests, even if it misleads the court
D) Solicitors are immune from court sanctions
A) Solicitors are “Officers of the Court” and must conduct themselves properly
Q: What should a solicitor do if they accidentally mislead the court?
A) Correct the mistake only if the client agrees
B) Correct the mistake with the court, even if the client refuses
C) Ignore the mistake to protect client confidentiality
D) Request another hearing to provide clarification
B) Correct the mistake with the court, even if the client refuses
Q: Which of the following is a solicitor NOT allowed to do in court?
A) Present properly arguable cases
B) Tamper with evidence
C) Inform the court of relevant case law
D) Comply with court procedures
B) Tamper with evidence
Q: Under CCS 2.3, what is a solicitor prohibited from doing?
A) Calling a witness to testify
B) Offering a witness a benefit in return for their evidence
C) Reviewing witness statements before a hearing
D) Cross-examining a witness in a trial
B) Offering a witness a benefit in return for their evidence
Q: What must a solicitor do under CCS 2.7?
A) Inform the court of any legal case or statute that may impact the outcome
B) Only provide case law that benefits their client
C) Request permission before citing legal authorities
D) Refuse to discuss legal precedent unless asked
A) Inform the court of any legal case or statute that may impact the outcome
Q: What are potential consequences for a solicitor who breaches CCS 2?
A) Investigation by the SRA and possible disciplinary action
B) Automatic disbarment
C) Immediate imprisonment
D) No consequences unless the judge files a complaint
A) Investigation by the SRA and possible disciplinary action
Q: What is a best practice when giving an undertaking?
A) Keep a record of all undertakings given and discharged
B) Only give undertakings orally to avoid written liability
C) Accept all undertakings requested by third parties
D) Ensure all staff can freely give undertakings
A) Keep a record of all undertakings given and discharged
Scenario: A solicitor undertakes to transfer a client’s funds to a third party by a specific date. Due to an internal administrative error, the payment is delayed.
What consequence might the solicitor face?
A) The solicitor may face disciplinary action from the SRA
B) The undertaking is automatically voided
C) No consequence if they fix the mistake quickly
D) The client is automatically responsible for the mistake
A) The solicitor may face disciplinary action from the SRA
Scenario: A solicitor verbally assures a client that they will file an important legal document by a deadline. The client relies on this assurance.
Is the solicitor bound by this undertaking?
A) Yes, because oral undertakings are binding
B) No, because the undertaking was not in writing
C) Only if the solicitor repeats the assurance in an email
D) No, unless the client records the conversation
A) Yes, because oral undertakings are binding
Scenario: A junior legal assistant in a law firm makes an undertaking to a third party regarding payment of court fees.
Is this undertaking valid?
A) No, unless the managing partner approves it
B) Only if the assistant has written authorisation from a solicitor
C) Yes, because anyone in a law firm can give an undertaking
D) No, only solicitors can give undertakings
C) Yes, because anyone in a law firm can give an undertaking
Scenario: A solicitor undertakes to “ensure that a client’s case is resolved quickly.”
Why is this a poorly drafted undertaking?
A) It is not legally binding
B) It does not involve a financial commitment
C) The solicitor can withdraw it at any time
D) It is not specific, realistic, or timed
D) It is not specific, realistic, or timed
Scenario: A solicitor gives an undertaking to pay a third party £10,000 but later finds that the client has insufficient funds.
Who is liable for the payment?
A) The client
B) The solicitor, as undertakings must be honoured
C) The law firm, as it employs the solicitor
D) The SRA, as they regulate undertakings
B) The solicitor, as undertakings must be honoured
Scenario: A solicitor becomes aware that a witness has lied under oath in court but does not correct the record.
What should the solicitor do?
A) Withdraw from the case without informing the court
B) Correct the record with the court, even if the client disagrees
C) Nothing, as it is the witness’s responsibility
D) Ask the witness to change their statement without notifying the court
B) Correct the record with the court, even if the client disagrees
Scenario: A solicitor offers a witness free legal advice in exchange for favourable testimony.
What rule does this breach?
A) CCS 1.4 – Duty to act in the client’s best interest
B) CCS 2.3 – Prohibition on offering benefits for specific evidence
C) CCS 2.7 – Duty to inform the court of relevant case law
D) CCS 2.6 – Prohibition on wasting court time
B) CCS 2.3 – Prohibition on offering benefits for specific evidence
Scenario: A solicitor is aware of a legal case that may impact their client’s claim but does not inform the court.
What rule does this breach?
A) CCS 2.7 – Duty to inform the court of relevant law
B) CCS 1.3 – Duty to comply with undertakings
C) CCS 2.1 – Duty to avoid tampering with evidence
D) CCS 3.2 – Obligation to provide competent service
A) CCS 2.7 – Duty to inform the court of relevant law
Scenario: A solicitor repeatedly interrupts a judge, refuses to follow courtroom procedures, and ignores direct court orders.
What consequence could they face?
A) No consequences unless the judge files a complaint
B) A finding of contempt of court, which could lead to imprisonment
C) A verbal warning from the judge
D) Immediate disqualification from the profession
B) A finding of contempt of court, which could lead to imprisonment
