Flashcards
Ethics & Professional Conduct SQE
Flashcards do conjunto (29)
- 1What 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 - 2What is the protocol when two or more mandatory principles conflict?Apply the principle that benefits the wider public
- 3Who 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.
- 4What 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.
- 5When is an undertaking enforceable?When the other party has placed reliance on the statement and it is not performed.
- 6Who can make an undertaking?Any member of the firm including Solicitors and support staff.
- 7Who is bound by an undertaking? The solicitor or the firm?The person that gave the undertaking is personally bound.
- 8Under 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.
- 9What 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.
- 10What 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.
- 11What 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.
- 12Who is responsible for making sure that a solicitor keeps up to date with developments in the law?Both the individual solicitor and the firm.
- 13When are referral fees prohibited without exception?Referral fees are prohibited in relation to criminal cases and personal injury cases.
- 14If the SRA believe a solicitor received a prohibited fee, who has the burden of proving otherwise?The solicitor
- 15Can 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.
- 16Only a company authorised by the SRA can have 'solicitor' in its name. True or false?True
- 17When are fee sharing agreements permitted?If the solicitor: ① informs the client of the interest and ② the fee sharing agreement is in writing.
- 18What 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 - 19What 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 - 20What 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 - 21Under 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.
- 22What 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 - 23Under 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 - 24What 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 - 25True or false - the duty of confidentiality ends when the client diesFalse - the duty of confidentiality continues after death
- 26When 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
- 27If 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.
- 28What 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 - 29When 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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- Civil Law FlashCards sobre Ethics & Professional Conduct SQE, criado por Imarne Rose em 24-11-2022.
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- Imarne Rose
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