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Paralegal Licenscing Exam > Who is the Client? > Flashcards

Who is the Client? Flashcards

1
Q

What are the elements of a paralegal’s duty of quality of service?

A
  • competence
  • maintain client confidentiality
  • avoid conflicts of interest
  • continue to represent the client unless there is good cause to withdraw
  • handling the client;s fees, billing, handling money and property.
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2
Q

Which bylaw requires that paralegals obtain identifying information from clients?

A

By-Law 7.1

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3
Q

who is a prospective client?

A

anyone seeking advice or assistance on a matter invoking the paralegal’s professional knowledge, even though the paralegal has not prepared a retainer agt, or rendered an account for fees, or agreed to represent that person

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4
Q

when do paralegals owe a person the duty of confidentiality?

A

When the prospective client discloses any confidential information. These duties arise when the prospective client first contacts the paralegal or firm and continue indefinitely.

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5
Q

who is a client?

A

A person who
- consults a paralegal and on whose behalf the paralegal provides/agrees to provide legal services

  • having consulted with the paralegal, reasonably concludes that the paralegal has agreed to provide legal services on the person’s behalf.
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6
Q

What consitutes the rendering of legal services?

A

the provision of legal services, in both formal and informal settings

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7
Q

what is the test for examination when considering whether a rep-client relationship exist?

A

whether it is reasonable for a person to conclude that the paralegal has agreed to provide legal services on that person’s behalf.

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8
Q

Paralegals should be cautious when dealing with people who:

A

1/ consult w paralegal but do not clearly indicate whether they want to hire the paralegal or pursue the matter

2/ are third parties who accompany the client and are present during client consultations w paralegal

3/ speak to the paralegal casually or socially about the legal issue/matter outside the paralegals place of business or business hours

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9
Q

what is a firm client?

A

a client of the firm of which a paralegal is a partner or associate, whether or not the paralegal handles the client’s work.

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10
Q

what is a joint retainer?

A

when a paralegal has been retained to represent two or more clients in the same matter

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11
Q

What must a paralegal do before accepting joint clients?

A
  • ensure there are no conflicts of interest
  • advise each client that the paralegal has been asked to act for both or all parties
  • advise each client that no information received about the matter from one joint client can be treated as confidential where the other joint clients are concerned
  • if a conflict develops between or amongst the joint clients that cannot be resolved, the paralegal cannot continue to act for both or all of them and may have to withdraw completely
  • obtain separaet consent from each client
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12
Q

How can consent be communicated by joint clients?

A

in writing or recorded in a separate written communication to each client.

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13
Q

What duty does the paralegal owe the joint clients?

A

The duty of undivided loyalty, must not favour one over the other.

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14
Q

what if the paralegal has a continuing relationship with one of the joint clients?

A

The paralegal must advise the other joint client(s) of the relationship, and advise them to obtain independent legal advice about the joint retainer

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15
Q

What if one of the joint clients is of different knowledge/capacity/vulnerability/authority?

A

The paralegal should consider suggesting that they obtain independent legal advice before agreeing to the joint retainer to ensure that the client’s consent is informed, genuine and uncoerced

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16
Q

How should a paralegal proceed if they feel conflict between joint clients is likely?

A

They should NOT act for more than one of the clients.

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17
Q

What if a contentious issue arises between the joint clients?

A

The paralegal may not advise either client on the issue, and must refer them to other paralegals/lawyers on this issue. The paralegal may not participate in any negotiation between the clients to settle the issue

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18
Q

what is an authorized legal representative?

A

A person who acts as authorized representative of a person with diminished capacity/ lacks legal capacity. this person must be lawfully appointed.

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19
Q

What information must be included in a retainer agreement between paralegal and organization?

A

Which officers/directors/shareholders may properly give instructions on the organization’s behalf. Any instructions should be confirmed in writing to avoid future confusion

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20
Q

Can a paralegal act for both an officer/shareholder and the organization?

A

Only in those situations where the paralegal has determined that no conflict of interest would arise from doing so.

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21
Q

What is a limited scope retainer?

A

A retainer where the paralegal and client agree that the paralegal will provide legal services for PART, but NOT ALL of a client’s legal matter, or to perform a specific legal task in relation to the client’s matter

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22
Q

What steps should a paralegal follow when preparing and executing a limited scope retainer?

A

1/ prior to agreeing to assist the client, the paralegal should carefully assess whether it is possible to render the services competently in the circumstances
2/ where appropriate, consider whether the services can be provided within the financial means of the client.
3/ COnfirm the limited terms of engagement in writing, and give a copy of the written document to the client.

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23
Q

What is a paralegal’s obligation when representing a client in a situation where another party is unrepresented?

A
  • take care to ensure that the unrepresented party is not proceeding under the impression that the paralegal will protect their interests as well
  • ensure that the unrepp’d party understands that the paralegal is acting exclusively in the interests of their clients, and accordingly their comments may be partisan
  • paralegal should confirm, in writing, the steps taken to fulfill these obligations, and consider urging the unrepresented party to find representation. Paralegal should document in writing the unrepp’d person’s refusal to do so.
24
Q

Can a paralegal consider acting for an unrepp’d person as well as their own client?

A

They may consider this, only in situations where there is no conflict of interest. Generally, however, there will be a conflict of interest.

If the paralegal chooses to take on the unrepp’d person, they must prepare a joint retainer.

25
Q

What is required by Bylaw 7.1?

A

Client identification and verification requirements

26
Q

What are the client ID requirements?

A

paralegals must conduct sufficient due diligence to ensure that they do not unwittingly become involved in or act recklessly with respect to money laundering, terrorist financing, fraud, etc

27
Q

When were client ID requirements enhanced?

A

January 1, 2022

28
Q

When is identification required?

A

Whenever the paralegal is retained to provide legal services to the client, subject to the exemptions

29
Q

What information is required?

A

client’s full name
home address and phone number
occupation(s)
business address and phone number, if applicable

30
Q

What is the definition of an organization as defined by Bylaw 7.1?

A

a body corporate, partnership, fund, trust, co-operative or unincorporated association.

31
Q

What information must be obtained from associations?

A

full name
organization’s business address and phone number, if applicable
name, position and contact information for each individual who is authorized to give instructions on behalf of the organization w respect to the matter

32
Q

what must paralegal’s obtain from an org other than a financial institution, public body or reporting issuer?

A

the org’s incorporation or business identification number and the place where it was issued

information regarding the general nature of the business or activities engaged by the organization

33
Q

When is ID verification required?

A

When a paralegal engages in or gives instructions on behalf of the client or third party regarding the receipt, payment, or transfer of funds (a financial transaction)

34
Q

What are acceptable verification methods?

A
  • government ID
  • credit file method
  • dual process method, using any two:
  • info from a reliable source that contains the individual’s name and address
  • information from a reliable source that contains the individual’s name and DOB
  • information that contains the individual’s name and confirms that they have a deposit account, credit card or other loan amount with a financial institution.
35
Q

What is defined as a ‘reliable source’?

A

an originator or issuer of information that a paralegal trusts to verify the identity of the client. Should be well known and reputable, see LSO website for examples

36
Q

When must a paralegal take additional steps to verify an identity?

A

WHen the individual is 12 yrs or younger, or older but younger than 15 years

37
Q

How does a paralegal verify the identity of an organization

A

Same method as individual, but must go further to verify the identity of the person acting on behalf of the org as well as the org itself

38
Q

What steps must be taken to verify the identity of an org?

A
  • documentation from government registry of the organization’s existence, IE certificate of corporate status, copty of an annually filed record,
39
Q

When must a paralegal verify the identity of an organization?

A

No later than 30 days after the paralegal first engages in or gives instructon in respect of the financial transction. Best practice is to verify the org’s identity ASAP, before transaction

40
Q

What are the additional requirements needed when a paralegal engages in/gives instruction regarding the financial transaction on behalf of a client/third party?

A

obtain the name of each director of the org, unless the org is a securities dealer

make reasonable efforts to obtain:
- the name and address of each person who owns 25% or more shares;
- the names and address of all trustees and all known beneficiaries and settlors of the trust;
- information establishing the ownership, control and structure of the organization

41
Q

How should verified information be kept?

A

information must be recorded and dated per date obtained.

42
Q

What if a paralegal is unable to obtain or confirm the accuracy of the information?

A

The paralegal must take reasonable steps to identify the most senior managing officer;
- determine whether the client’s info, source of funds and client’s instructions are consistent with the purpose of the retainer and the info obtained about the client, and record the results of the determination and date made
- assess whether there is a risk that the paralegal may be assisting in or encouraging fraud or other illegal conduct, record the results of the assessment and date made.

43
Q

Is the paralegal the only person who may conduct ID verification?

A

No, Bylaw 7.1 permits the use of an agent

44
Q

How can a paralegal use an agent to verify client ID?

A

1/ enter into a written agreement with the agent prior to verification
2/ satisfy themselves that the verification informaton obtained by the agent on their behalf is valid, current and complies with the verification requirements set out in Bylaw 7.1 (consider having the agent complete an ATTESTATION)

45
Q

under what circumstances is a paralegal considered to have complied with the identification requirements for an individual/org?

A

If a person in the paralegal’s firm, acting on behalf of the paralegal, complies with the identification requirements

46
Q

Under what circumstances is a paralegal considered to have complied with the verification requirements?

A
  • if the paralegal previouly complied with the verification requirements and has no reason to believe that the information or the accuracy of the information has changes
  • an employee or another licensee who practices law or provides legal services through the p’s firm, acting on behalf of the p, complies with the verification requirementsy
  • an agent acting on behalf of the p complies with the verification requirements, pursuant to an agreement.
47
Q

What must a paralegal consider when relying on previously verified documents?

A

The paralegal must verify that the information and documents initially obtaned were correct, and have not changed

48
Q

what additional information is required when a paralegal engages in financial transaction?

A
  • client source of funds being received/paid/transferred.

-paralegal must record all information obtained for the purposes of the source of funds requirement, and the date on which it was obtained

49
Q

What responsibility to paralegal’s have when they engage in or give instructions re financial transactions?

A

To monitor the professional relationship with the client:
- determine whether the client;s information, source of funds and instructions are consistent with the purpose of the retainer and the info obtained re verification and ID
- assess whether there is a risk that the paralegal may be assisting or encouraging fraud or other illegal activities.

50
Q

how should ID and verification information be recorded?

A

Paralegal should retain a copy of every document used for verification, including a copy of every document used by an employee or other licensee at the firm who has undertaken to verify the identity of the person/org.

Information to be recorded:
- the method the identity was verified
- the process or method followed to determine whether the gov-issued photo ID is authentic
- efforts made to conform the gov-issued photo is valid and current

51
Q

How long to ID verifications need to be kept?

A

whichever is longer, either :
1/ the duration of the professional relationship with the client and for so long as is necessary to provide service to the client; and

2/ 6 years following the completion of work for which the paralegal was retained.

52
Q

Can ID verification information be kept electronically?

A

Only if a paper copy can be readily produced from it.

53
Q

What does ‘monitoring the professional relationship’ mean, and how do paralegal’s exercise this duty?

A
  • determine whether the client’s information in respect of the client’s activities, source of funds and instructions are consistent w the purposes of the retainer, and
  • assess whether there is a risk of the paralegal assisting or encouraging fraud or other illegal conduct.
54
Q

What does bylaw 7.1 s 24 outline?

A

The withdrawal obligations of a paralegal, and when they must do so

55
Q

When must a paralegal withdraw from service of a client?

A

If the paralegal knows or ought to know that the paralegal is or would be assisting the client in fraud or other illegal activities

Paralegal Licenscing Exam (51 decks)

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