38297757
Description
Flashcards by Imarne Rose, updated more than 1 year ago
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Created by Imarne Rose
about 2 years ago
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| Question | Answer |
| What are the 7 mandatory principles? (R, T, I, H, I, E & B) | 1. Uphold the rule of law and the proper administration of Justice 2. Uphold public’s trust in the profession 3. Independence 4. Honesty 5. Integrity 6. Encourage equality, diversity and inclusion 7. In the best interest of the client |
| What is the protocol when two or more mandatory principles conflict? | Apply the principle that benefits the wider public |
| Who bears the burden (and costs) of making reasonable adjustments? | Solicitors / the firm have the duty to make reasonable adjustments to ensure clients and employees are not placed at a substantial disadvantage. They cannot pass on the cost of making adjustments. |
| What is an undertaking? | A written or oral statement by a solicitor or member of a firm that they will do something. Undertakings can be enforced in court. |
| When is an undertaking enforceable? | When the other party has placed reliance on the statement and it is not performed. |
| Who can make an undertaking? | Any member of the firm including Solicitors and support staff. |
| Who is bound by an undertaking? The solicitor or the firm? | The person that gave the undertaking is personally bound. |
| Under what circumstances can a witness receive funds to attend Court to give evidence? | A solicitor may pay a witness for legitimate travel expenses and lost wages. It is a breach to offer or make payment to incentivise a witness to give favourable evidence. |
| What should a solicitor do if they discover that the court is mistaken during a hearing? | The solicitor has a duty to urge the client to correct the information. If the client refuses, the solicitor shall cease to act. |
| What should a solicitor do if they discover that their client has committed perjury while testifying? | The solicitor has a duty to urge the client to tell the truth. If the client refuses, the solicitor shall cease to act. |
| What should a solicitor do if a person with lasting power of attorney instructs them to execute a transaction that they do not believe is in the clients best interest? | Refuse the instruction on the basis that the original client remains the client despite the LPA. |
| Who is responsible for making sure that a solicitor keeps up to date with developments in the law? | Both the individual solicitor and the firm. |
| When are referral fees prohibited without exception? | Referral fees are prohibited in relation to criminal cases and personal injury cases. |
| If the SRA believe a solicitor received a prohibited fee, who has the burden of proving otherwise? | The solicitor |
| Can a solicitor refer a client to a company for ancillary services if they own an interest in the other business? | Yes, if the solicitor informs the client of the interest AND the client consents. |
| Only a company authorised by the SRA can have 'solicitor' in its name. True or false? | True |
| When are fee sharing agreements permitted? | If the solicitor: ① informs the client of the interest and ② the fee sharing agreement is in writing. |
| What are the three duties of the firms compliance officer for Legal Practice (COLP) | ①ensure compliance with SRA regulations ② ensure a prompt report of breaches is made to the SRA ③ ensure the SRA is informed of any matters that the COLP reasonably believes should be brought to the SRA’s attention for investigation |
| What are the three duties of the firms compliance officer for finance and administration (COFA) | ①ensure compliance with SRA accounts rules ② ensure a prompt report of breaches is made to the SRA ③ ensure the SRA is informed of any matters that the COFA reasonably believes should be brought to the SRA’s attention for investigation |
| What are the two types of conflict? | ① own interest conflict e.g. between the solicitor/the firm and the client ② client conflicts e.g. between two or more clients |
| Under what circumstances can a solicitor act if there is an own interest conflict? | There are no exceptions, an own interest conflict is an absolute bar to acting. |
| What are the two exceptions that allow a solicitor to continue to act if there is a conflict between clients? | ① substantially common interest ② competing for the same objective |
| Under what three circumstances can a Solicitor draft a will on behalf of a client that seeks to leave them a gift in their will? | The Solicitor may draft the will with the gift if: ①the gift is not significant ②the solicitor is related to the client and is being treated similarly to other relatives (whether or not the gift is significant) ③ The client has taken independent legal advice |
| What three conditions have to be met for the ‘substantially common interest’ or for the ‘competing for the same objective’ exceptions to apply? | ① the solicitor obtains both client’s informed consent in writing ② the firm safeguards each client’s confidential info ③it is reasonable for the solicitor to act for all of the clients |
| True or false - the duty of confidentiality ends when the client dies | False - the duty of confidentiality continues after death |
| When is a solicitor permitted to breach the duty of confidentiality? | A breach is justified if it is necessary to prevent the commission of a criminal offence that will result in serious harm or to protect a vulnerable person |
| If a solicitor discloses a breach to the COLP do they have to follow it up with the COLP or the SRA? | No, a solicitor only needs to directly report a breach to the SRA if they know that the COLP will not act on the matter. |
| What steps should a solicitor take if they accidentally disclose client information to a third party? | ① ask the third party to destroy the information ② inform the COLP and the client of the breach |
| When does a solicitor or firm have to inform the client of the complaints procedure? | At the outset of the retainer (in writing) |
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