1
Q
Define:
Law Society
A
A representative body of solicitors in England and Wales.
2
Q
Define:
Solicitors Regulation Authority (SRA)
A
The regulatory body for solicitors in England and Wales. Responsible for ensuring that solicitors meet high standards of professional conduct, protecting clients, and maintaining the integrity of the legal profession. Sets rules and guidelines for solicitors and handles complaints against them.
3
Q
Define:
Code of Conduct (2023)
A
A set of rules and guidelines that govern the professional behaviour and ethical standards expected of solicitors in their practice, ensuring integrity, competence, and respect for clients and the legal system.
4
Q
What are the FOUR key focus areas of the SRA’s Standards and Regulations (StaRs)?
A
- Education
- Entry standards
- Ongoing competence
- Ethical behaviours
5
Q
What are the FIVE key considerations when assessing whether a solicitor has breached the Code of Conduct?
(Solicitors or Firms)
A
- Intent
- Harm
- Vulnerability of client
- Experience of individual
- Their regulatory history
6
Q
What is the difference between the SRA’s Principles (2018) and the Code of Conduct for Solicitors (2023)?
A
The SRA’s Principles (2018) comprise the fundamental rules of ethical behaviour, while the Code of Conduct of Solicitors (2023) sets out outcome-focused standards of professionalism.
7
Q
True or False:
TheSRA’s Principles (2018) only apply to solicitors acting in a professional capacity.
A
False, the SRA’s Principles (2018) also apply to individuals acting in a private capacity where relevant.
8
Q
Who do the SRA’s Principles (2018) apply to?
A
All individuals and firms authorised by the SRA to provide legal services.
9
Q
Who does the SRA’s Code of Conduct of Solicitors (2023) apply to? Does this include in-house lawyers?
A
Individual solicitors, including in-house lawyers.
10
Q
What happens when a solicitor is suspended by the SRA?
A
During the suspension period, they are prohibited from practicing law, representing clients, or providing legal advice.
11
Q
Upon engaging a client, what FOUR things do solicitors need to inform the client about in writing?
(usually in a client care letter)
A
- Right to complain about services and charges.
- How to complain.
- Who to complain to.
- When the client can escalate to the Legal Ombudsman.
12
Q
After receiving a complaint from a client, how long do solicitors have to handle it before the client can complain to the Legal Ombudsman?
A
8 weeks starting from when they made the complaint.
13
Q
Can solicitors charge clients for handling their complaints?
A
No, they must handle complaints free of charge.
14
Q
If a solicitor cannot resolve a complaint with the client, what TWO main things must they inform the client about in writing?
A
- Their right to escalate their complaint to the Legal Ombudsman, and how and when to do so.
- Direct the client to an ADR-approved body, stating whether the solicitor uses the scheme.
15
Q
What is the upper time limit for complainants escalating unresolved complaints to the Legal Ombudsman? And when does the clock start running?
A
Complainants have one year from the time the alleged act/omission was committed (or when they could reasonably have known about it).
16
Q
In what circumstances may the Legal Ombudsman extend the time period within which complainants should escalate complaints to them?
A
If it is fair and reasonable to do so.
17
Q
Is the Legal Ombudsman part of the SRA?
A
No, they are separate entities.
18
Q
Can the Legal Ombudsman charge complainants a reasonable fee for handling their complaint?
A
No, it is a free service.
19
Q
What power does the Legal Ombudsman have to dismiss complaints?
A
If the complainant did not suffer “significant” loss, distress, inconvenience, or detriment.
20
Q
True or False:
Complainants must exhaust the solicitors’ internal complaints process before taking their complaint to the Legal Ombudsman.
A
False, in exceptional circumstances complainants can go directly to the Legal Ombudsman. For example, if there has been an irretrievable breakdown in the solicitor-client relationship.
21
Q
True or False:
Only individuals can use the Legal Ombudsman.
A
False, small organisations and micro-enterprises can use the Legal Ombudsman too.
22
Q
When will a company constitute a ‘micro-enterprise’ for the purpose of being able to use the Legal Ombudsman?
A
It must have both:
1. Turnover of < 2 million euros.
2. < 10 staff members.
23
Q
Can a small public body use the Legal Ombudsman?
A
No, no matter how small, public bodies cannot use the Legal Ombudsman.
24
Q
What counts as a ‘small organisation’ for the purpose of being able to use the Legal Ombudsman?
A
The organisation must have < £1 million in assets or annual turnover. For example, a small trust, association, club, or charity.
25
Who (if anyone) can escalate a complaint to the **Legal Ombudsman** if the **complainant dies**?
Are there any caveats?
1. **Personal representative** of their personal estate.
2. **Residuary beneficiary** of their personal estate.
(Provided that the complainant did not already refer the complaint to the Legal Ombudsman)
26
What SIX actions are available to the **Legal Ombudsman** following a **determination** of a complaint?
* Apology
* Compensation (incl. interest)
* Costs incurred by complainant
* Limiting fees
* Putting right
* Taking action in interest of complainant
27
Will the **Legal Ombudsman** *always* conduct a **hearing** and/or **investigation**?
No, only if required.
28
# True or False:
The combined maximum total the **Legal Ombudsman** may award for (a) compensating complainant, (b) putting right, and (c) taking action in interest of complainant is £25,000.
False, the total amount is **£50,000**.
29
What is the **Solicitors Disciplinary Tribunal (SDT)**? What authority does it have?
A specialised body that **adjudicates** complaints against solicitors, firms and managers of firms in England and Wales.
It has the authority to impose **sanctions**, including fines, suspensions, or striking off from the roll of solicitors.
Cases are typically **referred** by the SRA.
30
Does the **Solicitors Disciplinary Tribunal (SDT)** have investigative powers?
No, but it can hold hearings and make determinations regarding disciplinary actions.
31
How are members of the **Solicitors Disciplinary Tribunal (SDT)** appointed?
By the Master of the Rolls.
32
# True or False:
The **standard of proof** applied by the **SDT** is ‘beyond reasonable doubt’ (i.e. the criminal standard of proof).
True, the standard applied is the criminal standard of proof.
33
What FOUR powers to **sanction** solicitors does the **SDT** have?
* **Fines:** Imposing monetary penalties on solicitors.
* **Suspension:** Temporarily suspending solicitors from practice.
* **Striking Off:** Removing solicitors from the roll, effectively barring them from practicing law.
* **Exclusions:** From legal aid work.
34
Can a solicitor **appeal** an **SDT judgment**? If so, how and when?
Yes, they can appeal to the Administrative Court of the RCJ **within 21 days** of the SDT’s judgment.
35
# True or False:
The **Solicitors’ Compensation Fund** exists to reimburse solicitors who have successfully defended a complaint and have suffered a loss when doing so.
False, the **Solicitors’ Compensation Fund** exists to reimburse ***clients*** for financial losses caused by the solicitor’s dishonesty or failure to account for client’s money where not covered under indemnity insurance.
36
What takes precedence above the principle to act in client's best interests (principle 7)?
Any other principles around **public interest**.
37
Will all criminal offences amount to a breach of the justice and rule of law principle (principle 1)?
No, the SRA will take into account:
* Seriousness of offence
* Substantial harm
* Vulnerability of victim
38
What are the SEVEN **SRA Principles**?
1. Public trust & confidence
2. Independence
3. Honesty
4. Integrity
5. Equality, diversity & inclusions
6. Best interests of client
7. Justice & rule of law
39
What is the difference between honesty (principle 4) and integrity (principle 5)?
Integrity is broader than honesty
40
What is the two-part test for determining whether an individual has acted dishonestly?
* **STEP 1:** What was the individual's **genuine knowledge** or belief as to the facts at the time?
* **STEP 2:** In view of their knowledge or belief at the time, was their conduct dishonest by the standards of **ordinary decent people**?
| Ivey & Genting Casinos
41
# True or False:
The equality, diversity and inclusion principle (principle 6) applies to someone's socio-economic background.
True, it extends to things like education background, not just protected characteristics.
42
A solicitor is representing a male client defending himself in an Employment Tribunal against an allegation of sex discrimination. The solicitor explains to the client that they would have to instruct counsel to provide advice on a particular piece of law and to represent the client at the final hearing. The client instructs that he wishes to be represented by a female advocate only.
What must the solicitor do to meet their obligations under the SRA Principles and Codes of Conduct for Solicitors and Firms?
* **Para 1.1:** Must not unlawfully discriminate.
* **Principle 6:** Act in a way that encourages equality, diversity & inclusion.
Discuss the issue with client, ask them to change instructions, otherwise withdraw.
43
A sole practitioner who specialises in patent disputes and is considered an expert in their field is approached by a large American company. The company wishes to bring an action for a breach of one of its patents. The solicitor is already overworked and is struggling to keep up with their existing caseload. The solicitor considers that this work would be very lucrative for their firm.
Should the solicitor take on this work?
The solicitor must act in the best interests of the client (Principle 7), which includes providing a proper standard of service. The solicitor’s expertise is not in question. However, the solicitor does not have the capacity to take on the work. Therefore, they should decline to act, even if they would lose out on this lucrative work.
44
What are RELs and RFLs?
RELs - registered european lawyers.
RFLs - registered foreign lawyers.
45
What's the name of the regulations governing who can be admitted by the SRA as solicitors?
SRA Authorisation of Individuals Regulations 2023.
46
Does the Code of Conduct of Solicitors apply differently depending on whether they work in a traditional law firm, in-house, as freelancers or for the government? If so, how?
No, the *Code of Conduct of Solicitors* applies to **all solicitors** equally.
47
For the purposes of the Code of Conduct of Solicitors, who are in-house counsel's clients?
Generally their employer and affiliates of the employer organisation.
48
The SRA will take regulatory action against individual solicitors (or firms) for **serious** breaches of regulatory requirements. This may be a one-off incident in isolation. In what other scenario might the SRA deem there to have been a serious breach?
Persistent or concerning patterns of behaviour.
49
# Fix the errors:
**1: Maintaining trust and acting fairly**
* **1.1** You do not unfairly discriminate by allowing your personal views to affect the way in which you provide your services.
* **1.2** You do not abuse your position by taking unfair advantage of clients.
* **1.3** You perform all undertakings given by you, and do so within a reasonable amount of time.
* **1.4** You do not mislead or attempt to mislead your clients, the court or others, either by your own acts or omissions or allowing in the acts or omissions of others (including your client).
* **1.5** You treat colleagues fairly and with respect. You do not bully or harass them or discriminate unfairly against them. You challenge behaviour that does not meet this standard.
| Hint: There are five errors.
## Footnote
Solicitors Code of Conduct
**1: Maintaining trust and acting fairly**
* **1.1** You do not unfairly discriminate by allowing your personal views to affect **your professional relationships and** the way in which you provide your services.
* **1.2** You do not abuse your position by taking unfair advantage of clients **or others**.
* **1.3** You perform all undertakings given by you, and do so within **an agreed timescale or if no timescale has been agreed then within** a reasonable amount of time.
* **1.4** You do not mislead or attempt to mislead your clients, the court or others, either by your own acts or omissions or allowing **or being complicit** in the acts or omissions of others (including your client).
* **1.5** You treat colleagues fairly and with respect. You do not bully or harass them or discriminate unfairly against them. **If you are a manager,** you challenge behaviour that does not meet this standard.
50
# Fix the errors:
**1: Maintaining trust and acting fairly**
* **1.1** You do not discriminate by allowing your personal views to affect your professional relationships and the way in which you provide your services.
* **1.2** You do not abuse your position by taking advantage of clients or others.
* **1.3** You perform all undertakings given by you, and do so within an agreed timescale or if no timescale has been agreed then promptly.
* **1.4** You do not mislead or attempt to mislead your clients or the court, either by your own acts or omissions or allowing or being complicit in the acts or omissions of others (including your client).
* **1.5** You treat colleagues fairly. You do not bully or harass them or discriminate unfairly against them. If you are a manager, you challenge behaviour that does not meet this standard.
| Hint: There are five errors.
## Footnote
Solicitors Code of Conduct
**1: Maintaining trust and acting fairly**
* **1.1** You do not **unfairly** discriminate by allowing your personal views to affect your professional relationships and the way in which you provide your services.
* **1.2** You do not abuse your position by taking **unfair** advantage of clients or others.
* **1.3** You perform all undertakings given by you, and do so within an agreed timescale or if no timescale has been agreed then **within a reasonable amount of time**.
* **1.4** You do not mislead or attempt to mislead your clients, the court **or others**, either by your own acts or omissions or allowing or being complicit in the acts or omissions of others (including your client).
* **1.5** You treat colleagues fairly **and with respect**. You do not bully or harass them or discriminate unfairly against them. If you are a manager, you challenge behaviour that does not meet this standard.
51
# True or False:
Solicitors are at liberty to decline instructions.
| (are there any caveats?)
True, but they must not refuse to act for a client based on their protected characteristics under equality law (cf. Principle 6).
52
Solicitors frequently give "undertakings" to clients. What is the definition of "undertaking" in the *SRA Glossary 2023*?
1. An oral or written **statement** made to someone.
2. Who reasonably **relies** on it.
3. That the solicitor (or third party) will do or refrain from **doing something**.
53
# True or False
An undertaking does not need to include the word "undertake" or "undertaking" for the SRA to regard it as such.
True.
54
An ambiguous undertaking is usually construed in favour of which party?
| Solicitors Regulation Authority
Usually in favour of the **recipient** of the undertaking, particularly if given to a lay recipient.
55
Can an **undertaking** given by a solicitor to a client be **unilaterally withdrawn** by the solicitor?
No, not once the recipient has placed reliance on it.
56
# True or False:
An undertaking will bind not only the individual solicitor giving it, but also their firm because they are holding themselves out as representing the firm.
| (are there any caveats?)
True, if it is made in the course of the usual kind of business that the firm carries on.
57
Why is it important for a solicitor to draft undertakings to a client carefully?
Because they are binding (and cannot be unilaterally withdrawn), even if it is something outside of the solicitor's control.
58
# True or False:
If a solicitor fails to fulfil an undertaking to a client, it may result in disciplinary action by the SRA.
True.
59
Undertakings given to a client should follow the SMART principles. What are these?
* **S** pecific.
* **M** easurable.
* **A** greed.
* **R** ealistic.
* **T** imed.
60
# Fix the errors:
**2: Dispute resolution and proceedings before courts, tribunals and inquiries**
* **2.1** You do not misuse or tamper with evidence.
* **2.2** You do not seek to influence the substance of evidence, including persuading witnesses to change their evidence.
* **2.3** You do not provide any benefit to witnesses dependent upon the nature of their evidence or the outcome of the case.
* **2.4** You only make assertions or put forward statements, representations or submissions to the court which are properly arguable.
* **2.5** You do not place yourself in contempt of court.
* **2.6** You do not unnecessarily waste the court's time.
* **2.7** You draw the court's attention to relevant cases and statutory provisions which are likely to have a material effect on the outcome of the proceedings.
| Hint: There are seven.
## Footnote
Solicitors Code of Conduct
**2: Dispute resolution and proceedings before courts, tribunals and inquiries**
* **2.1** You do not misuse or tamper with evidence **or attempt to do so**.
* **2.2** You do not seek to influence the substance of evidence, including **generating false evidence or** persuading witnesses to change their evidence.
* **2.3** You do not provide or **offer to provide** any benefit to witnesses dependent upon the nature of their evidence or the outcome of the case.
* **2.4** You only make assertions or put forward statements, representations or submissions to the court **or others** which are properly arguable.
* **2.5** You do not place yourself in contempt of court, **and you comply with court orders which place obligations on you**.
* **2.6** You do not [remove: unnecessarily] waste the court's time.
* **2.7** You draw the court's attention to relevant cases and statutory provisions, **or procedural irregularities of which you are aware, and** which are likely to have a material effect on the outcome of the proceedings.
61
# Fix the errors:
**2: Dispute resolution and proceedings before courts, tribunals and inquiries**
* **2.1** You do not misuse with evidence or attempt to do so.
* **2.2** You do not seek to influence the substance of evidence, including persuading witnesses to change their evidence.
* **2.3** You do not provide or offer to provide any benefit to witnesses dependent upon the nature of their evidence.
* **2.4** You only make assertions or put forward statements, representations or submissions to the court or others which are arguable.
* **2.5** You comply with court orders which place obligations on you.
* **2.6** You do not waste the court's time or the time of others.
* **2.7** You draw the court's attention to relevant cases and statutory provisions, or procedural irregularities of which you are aware, and which are likely to have an effect on the outcome of the proceedings.
| Hint: There are seven.
## Footnote
Solicitors Code of Conduct
**2: Dispute resolution and proceedings before courts, tribunals and inquiries**
* **2.1** You do not misuse **or tamper** with evidence or attempt to do so.
* **2.2** You do not seek to influence the substance of evidence, including generating false evidence **or persuading witnesses to change their evidence**.
* **2.3** You do not provide or offer to provide any benefit to witnesses dependent upon the nature of their evidence **or the outcome of the case**.
* **2.4** You only make assertions or put forward statements, representations or submissions to the court or others which are **properly** arguable.
* **2.5** You **do not place yourself in contempt of court, and you** comply with court orders which place obligations on you.
* **2.6** You do not waste the court's time **[REMOVE: or the time of others]**.
* **2.7** You draw the court's attention to relevant cases and statutory provisions, or procedural irregularities of which you are aware, and which are likely to have a **material** effect on the outcome of the proceedings.
62
# Fix the errors:
**3: Service and competence**
* **3.1** Always act in your client’s best interests, ensuring you are acting on instructions validly given by the client.
* **3.2** You ensure that the service you provide to clients is delivered in a timely manner.
* **3.3** You maintain your competence to keep your professional knowledge and skills up to date.
* **3.4:** You consider and take account of your client's needs and circumstances.
* **3.5** Where you supervise or manage others providing legal services, you remain accountable for the work carried out through them.
* **3.6** You ensure that the individuals you manage are competent to carry out their role, and keep their professional knowledge and skills up to date.
| Hint: There are six.
## Footnote
Solicitors Code of Conduct; Code of Conduct of Firms
**3: Service and competence**
* **3.1** Always act in your client’s best interests, ensuring you are acting on instructions validly given by the client **or on their authorisation**.
* **3.2** You ensure that the service you provide to clients is **competent and** delivered in a timely manner.
* **3.3** You maintain your competence to **carry out your role and** keep your professional knowledge and skills up to date.
* **3.4:** You consider and take account of your client's **attributes**, needs and circumstances.
* **3.5** Where you supervise or manage others providing legal services: (a) you remain accountable for the work carried out through them; **and (b) you effectively supervise work being done for clients**.
* **3.6** You ensure that the individuals you manage are competent to carry out their role, and keep their professional knowledge and skills, **as well as understanding of their legal, ethical and regulatory obligations,** up to date.
## Footnote
Solicitors Code of Conduct; Code of Conduct of Firms
63
# Fix the errors:
**3: Service and competence**
* **3.1** Always act in your client’s best interests, ensuring you are acting on instructions given by the client or on their authorisation.
* **3.2** You ensure that the service you provide to clients is competent.
* **3.3** You maintain your competence to carry out your role.
* **3.4:** You consider and take account of your client's circumstances.
* **3.5** Where you supervise or manage others providing legal services, you effectively supervise work being done for clients.
* **3.6** You ensure that the individuals you manage keep their professional knowledge and skills, as well as understanding of their legal, ethical and regulatory obligations, up to date.
| Hint: There are six.
## Footnote
Solicitors Code of Conduct; Code of Conduct of Firms
**3: Service and competence**
* **3.1** Always act in your client’s best interests, ensuring you are acting on instructions **validly** given by the client or on their authorisation.
* **3.2** You ensure that the service you provide to clients is competent **and delivered in a timely manner**.
* **3.3** You maintain your competence to carry out your role **and keep your professional knowledge and skills up to date**.
* **3.4:** You consider and take account of your client's **attributes, needs and** circumstances.
* **3.5** Where you supervise or manage others providing legal services: **(a) you remain accountable for the work carried out through the; and** (b) you effectively supervise work being done for clients.
* **3.6** You ensure that the individuals you manage **are competent to carry out their role,** keep their professional knowledge and skills, as well as understanding of their legal, ethical and regulatory obligations, up to date.
## Footnote
Solicitors Code of Conduct; Code of Conduct of Firms
64
What's the name of the contract between a client and solicitor to provide legal services?
A retainer.
65
# True or False:
If the solicitor pays the client’s money to a fraudulent party, they will be accountable for the loss, even when they have not been negligent.
True.
66
What legislation requires a solicitor to have satisfactory evidence of who their client is? (ID checks etc.)
Anti-money laundering legislation.
67
What should a solicitor do if they have authority to act on behalf of a client but are **unable to obtain their client's specific instructions** on a particular matter?
Act according to their overriding obligation to protect the client's best interests.
68
# Fix the errors
**4: Client money and assets**
* **4.1** You properly account to clients for any financial benefit you receive as a result of their instructions.
* **4.2** You safeguard money and assets entrusted to you by clients.
* **4.3** You do not personally hold client money save as permitted under regulation 10.2(b)(vii) of the Authorisation of Individuals Regulations, unless you work in an authorised body, or in an organisation of a kind prescribed under this rule on any terms that may be prescribed accordingly.
| Hint: There are two.
## Footnote
Solicitors Code of Conduct; Code of Conduct for Firms
**4: Client money and assets**
* **4.1** You properly account to clients for any financial benefit you receive as a result of their instructions, **except where they have agreed otherwise**.
* **4.2** You safeguard money and assets entrusted to you by clients **and others**.
* **4.3** You do not personally hold client money save as permitted under regulation 10.2(b)(vii) of the Authorisation of Individuals Regulations, unless you work in an authorised body, or in an organisation of a kind prescribed under this rule on any terms that may be prescribed accordingly.
## Footnote
Solicitors Code of Conduct; Code of Conduct for Firms
69
# Fix the errors:
**5.1 - 5.3: Referrals, introductions and separate businesses**
* **5.1** In respect of any referral of a client by you to another person, or of any third party who introduces business to you or with whom you share your fees, you ensure that: (a) clients are informed of any financial or other interest in the referral; (b) clients are informed of any relevant fee sharing arrangement; (c) [...]; (d) [...]; and (e) the referral does not circumvent the scope of SRA.
* **5.2** Where it appears to the SRA that you have made or received a referral fee, the payment will be treated as a referral fee.
* **5.3** You only: (a) refer, recommend or introduce a client to a separate business; or (b) divide, or allow to be divided, a client's matter between you and a separate business, where the client has given consent to your doing so.
| Hint: There are three.
## Footnote
Solicitors Code of Conduct; Code of Conduct for Firms
**5.1 - 5.3: Referrals, introductions and separate businesses**
* **5.1** In respect of any referral of a client by you to another person, or of any third party who introduces business to you or with whom you share your fees, you ensure that: (a) clients are informed of any financial or other interest in the referral; (b) clients are informed of any relevant fee sharing arrangement; **(c) the fee sharing agreement is in writing; (d) you do not make or receive referral payments in respect of clients who are the subject of criminal proceedings**; and (e) the referral does not circumvent the scope of SRA.
* **5.2** Where it appears to the SRA that you have made or received a referral fee, the payment will be treated as a referral fee **unless you show that the payment was not made as such**.
* **5.3** You only: (a) refer, recommend or introduce a client to a separate business; or (b) divide, or allow to be divided, a client's matter between you and a separate business, where the client has given **informed** consent to your doing so.
## Footnote
Solicitors Code of Conduct; Code of Conduct for Firms
70
# Fix the errors:
**5.4 - 5.6: Other business requirements**
* **5.4** You must not be a manager or employee of a business that: (a) has a name which includes the word "solicitors"; or (b) describes its work in a way that suggests it is a solicitors' firm, unless it is an authorised body.
* **5.5** If you are a solicitor who holds a practising certificate, an REL or RFL, you must complete and deliver to the SRA the prescribed form.
* **5.6** If you are a solicitor or an REL carrying on reserved legal activities for the public or a section of the public in a non-commercial body, you must ensure that: (a) the body takes out and maintains indemnity insurance; and (b) this insurance provides adequate and appropriate cover in respect of the services that you provide or have provided, taking into account any alternative arrangements the body or its clients may make.
| Hint: There are three.
## Footnote
Code of Conduct of Solicitors
**5.4 - 5.6: Other business requirements**
* **5.4** You must not be a manager, employee, **member or interest holder** of a business that: (a) has a name which includes the word "solicitors"; or (b) describes its work in a way that suggests it is a solicitors' firm, unless it is an authorised body.
* **5.5** If you are a solicitor who holds a practising certificate, an REL or RFL, you must complete and deliver to the SRA **an annual return** in the prescribed form.
* **5.6** If you are a solicitor or an REL carrying on reserved legal activities for the public or a section of the public in a non-commercial body, you must ensure that: (a) the body takes out and maintains indemnity insurance; and (b) this insurance provides adequate and appropriate cover in respect of the services that you provide or have provided, **whether or not they comprise reserved legal activities,** taking into account any alternative arrangements the body or its clients may make.
71
What are the two types of conflict of interest a solicitor might face?
| (briefly explain them)
1. **Own-interest conflict** - client's best interests conflict with solicitor's own interests.
2. **Client conflict** - the solicitor’s separate duties to act in the best interests of two or more clients in relation to the same or a related matter conflict, or there is a significant risk that they may conflict.
72
# Fix the errors:
**6.1 - 6.2: Conflicts of interest**
* **6.1** You do not act if there is an own interest conflict or a risk of such a conflict.
* **6.2** You do not act in relation to a matter or particular aspect of it if you have a conflict of interest or a significant risk of such a conflict in relation to that matter or aspect of it, unless:
**(a)** the clients have a substantially common interest in relation to the matter or the aspect of it, as appropriate; or
**(b)** the clients are competing for the same objective and the conditions below are met, namely that: (i) all the clients have given informed consent to you acting; (ii) where appropriate, you put in place effective safeguards to protect your clients' confidential information; and (iii) you are satisfied it is reasonable for you to act for all the clients.
| Hint: There are two.
## Footnote
Solicitors Code of Conduct; Code of Conduct for Firms
**6.1 - 6.2: Conflicts of interest**
* **6.1** You do not act if there is an own interest conflict or a **significant** risk of such a conflict.
* **6.2** You do not act in relation to a matter or particular aspect of it if you have a conflict of interest or a significant risk of such a conflict in relation to that matter or aspect of it, unless:
**(a)** the clients have a substantially common interest in relation to the matter or the aspect of it, as appropriate; or
**(b)** the clients are competing for the same objective and the conditions below are met, namely that: (i) all the clients have given informed consent, **given or evidenced in writing**, to you acting; (ii) where appropriate, you put in place effective safeguards to protect your clients' confidential information; and (iii) you are satisfied it is reasonable for you to act for all the clients.
## Footnote
Solicitors Code of Conduct; Code of Conduct for Firms
73
# Fix the errors:
**6.1 - 6.2: Conflicts of interest**
* **6.1** You do not act if there is an own interest conflict or a significant risk of such a conflict, unless the client agrees.
* **6.2** You do not act in relation to a matter or particular aspect of it if you have a conflict of interest or a significant risk of such a conflict in relation to that matter or aspect of it, unless:
**(a)** the clients have a substantially common interest in relation to the matter or the aspect of it, as appropriate; and
**(b)** the clients are competing for the same objective and the conditions below are met, namely that: (i) all the clients have given informed consent, given or evidenced in writing, to you acting; (ii) where appropriate, you put in place effective safeguards to protect your clients' confidential information; and (iii) you are satisfied it is reasonable for you to act for all the clients.
| Hint: There are two.
## Footnote
Solicitors Code of Conduct; Code of Conduct for Firms
**6.1 - 6.2: Conflicts of interest**
* **6.1** You do not act if there is an own interest conflict or a significant risk of such a conflict **[REMOVE: unless the client agrees]**.
* **6.2** You do not act in relation to a matter or particular aspect of it if you have a conflict of interest or a significant risk of such a conflict in relation to that matter or aspect of it, unless:
(a) the clients have a substantially common interest in relation to the matter or the aspect of it, as appropriate; **or**
(b) the clients are competing for the same objective and the conditions below are met, namely that: (i) all the clients have given informed consent, given or evidenced in writing, to you acting; (ii) where appropriate, you put in place effective safeguards to protect your clients' confidential information; and (iii) you are satisfied it is reasonable for you to act for all the clients.
## Footnote
Solicitors Code of Conduct; Code of Conduct for Firms
74
# True or False:
Provided you inform your client of an own-interest conflict and they give informed consent for you continuing to act for them, you can continue to act.
False, there is **no exception** where there is an own-interest conflict.
| **para 6.1** Solicitors Code of Conduct
75
How does the SRA define **"substantially common interest"**?
| Solicitors Code of Conduct; SRA Glossary
A situation where there is a clear common purpose between the clients and a strong consensus on how it is to be achieved.
76
How does the SRA define **"competing for the same objective"**? And what does "objective" mean?
| Solicitors Code of Conduct; SRA Glossary
Where two or more clients are competing for an objective which, if attained by one client, will make that **objective unattainable to the others**.
Objective = asset, contract, business opportunity.
77
# Fix the errors:
**6.3 - 6.5: Confidentiality & Disclosure**
* **6.3** You keep the affairs of current clients confidential unless disclosure is required or permitted by law or the client consents.
* **6.4** Where you are acting for a client, you make the client aware of all information material to the matter of which you have knowledge, except when:
**(a)** the disclosure of the information is prohibited by legal restrictions imposed in the interests of national security or the prevention of crime;
**(b)** [...];
**(c)** you have reason to believe that serious physical or mental injury will be caused to your client or another if the information is disclosed; or
**(d)** the information is contained in a privileged document that you have knowledge of only because it has been mistakenly disclosed.
* **6.5** You do not act for a client where that client has an interest adverse to the interest of another current or former client of you or your business or employer, for whom you or your business or employer holds confidential information which is material to that matter, unless:
**(a)** effective measures have been taken which result in there being no risk of disclosure of the confidential information; or
**(b)** the current or former client whose information you or your business or employer holds has given informed consent in writing to you acting, including to any measures taken to protect their information.
| Hint: There are three.
## Footnote
Solicitors Code of Conduct; Code of Conduct for Firms
**6.3 - 6.5: Confidentiality & Disclosure**
* **6.3** You keep the affairs of current **and former** clients confidential unless disclosure is required or permitted by law or the client consents.
* **6.4** Where you are acting for a client, you make the client aware of all information material to the matter of which you have knowledge, except when:
**(a)** the disclosure of the information is prohibited by legal restrictions imposed in the interests of national security or the prevention of crime;
**(b) your client gives informed consent in writing to the information not being disclosed to them**;
**(c)** you have reason to believe that serious physical or mental injury will be caused to your client or another if the information is disclosed; or
**(d)** the information is contained in a privileged document that you have knowledge of only because it has been mistakenly disclosed.
* **6.5** You do not act for a client where that client has an interest adverse to the interest of another current or former client of you or your business or employer, for whom you or your business or employer holds confidential information which is material to that matter, unless:
**(a)** effective measures have been taken which result in there being no **real** risk of disclosure of the confidential information; or
**(b)** the current or former client whose information you or your business or employer holds has given informed consent in writing to you acting, including to any measures taken to protect their information.
## Footnote
Solicitors Code of Conduct; Code of Conduct for Firms
78
# Fix the errors:
**6.3 - 6.5: Confidentiality & Disclosure**
* **6.3** You keep the affairs of current and former clients confidential unless disclosure is required or permitted by law.
* **6.4** Where you are acting for a client, you make the client aware of all information related to the matter of which you have knowledge, except when:
**(a)** the disclosure of the information is prohibited by legal restrictions imposed in the interests of national security or the prevention of crime;
**(b)** your client gives informed consent in writing, to the information not being disclosed to them;
**(c)** you have reason to believe that serious physical or mental injury will be caused to your client or another if the information is disclosed; or
**(d)** the information is contained in a privileged document that you have knowledge of only because it has been mistakenly disclosed.
* **6.5** You do not act for a client where that client has an interest adverse to the interest of another current or former client of you or your business or employer, for whom you or your business or employer holds confidential information which is material to that matter, unless:
**(a)** effective measures have been taken which result in there being no real risk of disclosure of the confidential information; or
**(b)** the current or former client whose information you or your business or employer holds has consented to you acting, including to any measures taken to protect their information.
| Hint: There are three
## Footnote
Solicitors Code of Conduct; Code of Conduct for Firms
**6.3 - 6.5: Confidentiality & Disclosure**
* **6.3** You keep the affairs of current and former clients confidential unless disclosure is required or permitted by law **or the client consents**.
* **6.4** Where you are acting for a client, you make the client aware of all information **material** to the matter of which you have knowledge, except when:
**(a)** the disclosure of the information is prohibited by legal restrictions imposed in the interests of national security or the prevention of crime;
**(b)** your client gives informed consent in writing, to the information not being disclosed to them;
**(c)** you have reason to believe that serious physical or mental injury will be caused to your client or another if the information is disclosed; or
**(d)** the information is contained in a privileged document that you have knowledge of only because it has been mistakenly disclosed.
* **6.5** You do not act for a client where that client has an interest adverse to the interest of another current or former client of you or your business or employer, for whom you or your business or employer holds confidential information which is material to that matter, unless:
**(a)** effective measures have been taken which result in there being no real risk of disclosure of the confidential information; or
**(b)** the current or former client whose information you or your business or employer holds has **given informed consent in writing** to you acting, including to any measures taken to protect their information.
## Footnote
Solicitors Code of Conduct; Code of Conduct for Firms
79
Which takes precedence: duty of confidentiality or duty of disclosure?
What are the TWO exceptions?
| **para 6.3** Solicitors Code of Conduct
Confidentiality > disclosure
Exceptions:
1. Law requires or permits disclosure.
2. Client consents.
80
What are FOUR common examples for when a solicitor may be required by law to disclose client confidential information?
| Solicitors' Code of Conduct
1. Anti-money laundering disclosures.
2. HMRC disclosures.
3. PACE disclosures.
4. By court order.
81
What's the difference between confidentiality and professional privilege?
**Professional privilege** - information passed between client and solicitor acting in their capacity as solicitor i.e. legal advice.
**Confidentiality** - *any* information the solicitor holds on the client i.e. much broader.
82
Can **professionally privileged information** (as distinct from just confidential information) be disclosed under a **court order**?
No.
83
# True or False:
A solicitor arrested for a criminal offence that might breach Principle 1 (justice and rule of law) or Principle 2 (trust and public confidence) has a duty to promptly inform the SRA.
False, the duty only arises once they are **charged**.
84
# Fix the errors:
**7: Cooperation and accountability**
* **7.1** Keep up to date with and follow the law and regulation governing your work.
* **7.2** Be able to justify your decisions and actions in order to demonstrate compliance.
* **7.3** Cooperate with the SRA with a role overseeing, supervising or investigating concerns in relation to legal services.
* **7.4** Respond promptly to the SRA and provide full, accurate explanations and documentation.
* **7.5** Do not attempt to prevent anyone from providing information to the SRA or other bodies.
* **7.6** Notify the SRA promptly if (a) criminal charge, conviction, (b) insolvency, (c) update or correct information.
* **7.7** Promptly report serious breaches or potential breaches to SRA.
* **7.8** Promptly report matters that the SRA may wish to investigate as to whether it was a serious breach.
* **7.9** Not subject anyone to detrimental treatment for reporting or proposing to report to SRA.
* **7.10** Act promptly to take any remedial action requested by SRA.
* **7.11** Be honest and open with clients if things go wrong, and if a client suffers loss or harm as a result you put matters right (if possible) and explain fully and promptly what has happened.
* **7.12** All the above will be satisfied if you provide information to your firm's COLP or COFA.
| Hint: There are six.
## Footnote
Solicitors Code of Conduct; Code of Conduct for Firms
**7: Cooperation and accountability**
* **7.1** Keep up to date with and follow the law and regulation governing your work.
* **7.2** Be able to justify your decisions and actions in order to demonstrate compliance.
* **7.3** Cooperate with the SRA **and other bodies** with a role overseeing, supervising or investigating concerns in relation to legal services.
* **7.4** Respond promptly to the SRA and (a) provide full, accurate explanations and documentation; **and (b) make information available for inspection**.
* **7.5** Do not attempt to prevent anyone from providing information to the SRA or other bodies.
* **7.6** Notify the SRA promptly if (a) criminal charge, conviction **or caution**, (b) insolvency, (c) update or correct information.
* **7.7** Promptly report serious breaches or potential breaches to SRA.
* **7.8** Promptly report matters that the SRA may wish to investigate as to whether it was a serious breach.
* **7.9** Not subject anyone to detrimental treatment for reporting or proposing to report to SRA **where they have reasonably held belief that they should**.
* **7.10** Act promptly to take any remedial action requested by SRA.
* **7.11** Be honest and open with clients if things go wrong, and if a client suffers loss or harm as a result you put matters right (if possible) and explain fully and promptly what has happened **and the likely impact**.
* **7.12** All the above will be satisfied if you provide information to your firm's COLP or COFA **on the understanding that they will do so**.
## Footnote
Solicitors Code of Conduct; Code of Conduct for Firms
85
How regularly should data be provided to the SRA on:
* Complaints made by clients (and a detailed record of these)
* Beneficiaries
* Third parties and suppliers
**Annually**, on the renewal of practising certificates.
86
# Fix the errors:
**8.6 - 8.11: Client information and publicity**
* **8.6** You give clients information in a way they can understand and are in a position to make informed decisions about the services they need and how their matter will be handled.
* **8.7** You ensure that clients receive the best possible information about how their matter will be priced and at the time of engagement about the likely overall cost of the matter and any costs incurred.
* **8.8** You ensure that any publicity in relation to your practice is accurate and not misleading, including that relating to your charges.
* **8.9** You do not make unsolicited approaches to members of the public in order to advertise legal services.
* **8.10** You ensure that clients understand whether and how the services you provide are regulated. This includes explaining (a) which activities will be carried out by you; (b) [...]; and (c) not representing any business or employer which is not authorised by the SRA as being regulated by the SRA.
* **8.11** You ensure that clients understand the protections available to them.
| Hint: There are six.
## Footnote
Solicitors Code of Conduct; Code of Conduct for Firms
**8.6 - 8.11: Client information and publicity**
* **8.6** You give clients information in a way they can understand and are in a position to make informed decisions about the services they need, how their matter will be handled **[1] and the options available to them**.
* **8.7** You ensure that clients receive the best possible information about how their matter will be priced and, both at the time of engagement **[2] and when appropriate as their matter progresses**, about the likely overall cost of the matter and any costs incurred.
* **8.8** You ensure that any publicity in relation to your practice is accurate and not misleading, including that relating to your charges **[3] and the circumstances in which interest is payable by or to clients**.
* **8.9** You do not make unsolicited approaches to members of the public, **[4] with the exception of current or former clients**, in order to advertise legal services.
* **8.10** You ensure that clients understand whether and how the services you provide are regulated. This includes explaining (a) which activities will be carried out by you; **[5] (b) which services are regulated by an approved regulator**; and (c) not representing any business or employer which is not authorised by the SRA as being regulated by the SRA.
* **8.11** You ensure that clients understand the **[6] regulatory** protections available to them.
## Footnote
Solicitors Code of Conduct; Code of Conduct for Firms
87
# True or False:
Solicitors can advertise their services.
True, provided they adhere to the SRA Principles, Code of Conduct, and usual advertising regulations.
88
# True or False:
If a solicitor knows that the other party is legally represented then, whilst there is nothing in the Codes specifically on the point, they must exercise sound judgement and only write to the other party directly in limited circumstances.
True.
89
# True or False:
The duty of confidentiality is owed to the personal representatives after the death of the client.
| Solicitors Code of Conduct
True.
90
A solicitor is representing a client in an employment tribunal. The client is suing for unfair dismissal. They were sacked for allegedly stealing a laptop. During cross-examination, the client denies that they ever had the laptop in their possession. Later that day, the client confides in the solicitor that they took the laptop and sold it to a friend to fund a holiday.
What should the solicitor do here?
* Not mislead, or attempt to mislead, the court or be complicit in another person doing so.
* Having become aware that the client has committed perjury, they should refuse to continue to act for them unless they agree to disclose the truth to the tribunal.
* They cannot inform the tribunal of the truth (or their reasons for withdrawal) without the client's consent as to do so would breach confidentiality.
91
A firm is conducting a marketing drive. The marketing department has identified several former clients who have not used the firm for several years. The marketing department suggests that the firm telephones these former clients to try to convince them to use the firm again.
Is the firm permitted to telephone these clients?
Yes, it is acceptable to contact current or former clients or potential professional or business connections.
92
A long-standing client of a firm with a pending matter contacts the firm to express their disappointment that the firm has recently been acting in defence of a large corporation accused of polluting a local river. On this basis, the client demands that their file be transferred to another firm. The firm do not consider that they have done anything wrong and wish to dispute the client’s right to transfer solicitors.
Can the solicitor do this?
No. A client can terminate at any time and for any reason. Whilst the solicitor has a right to claim a lien over a client’s files until any outstanding bills are paid, previous SRA guidance suggests that the solicitor should accept an undertaking from the new firm to pay their costs, rather than exercising this right.
93
An assistant solicitor acts for both N Co Ltd and M Co Ltd in a patents dispute. They are both being sued by W Co Ltd for breach of a patent. N Co Ltd manufactures gizmos and M Co Ltd distributes these products. Due to M Co Ltd’s lack of funds, N Co Ltd is paying the fees in respect of both clients. A solicitor gets a call from the managing director of N Co Ltd regarding concerns about the financial situation of M Co Ltd. They state that it has fallen behind in paying invoices and they are likely to issue a winding-up petition shortly.
Can the solicitor continue to act for both parties?
* The solicitor owes a duty of confidentiality to N Co Ltd, but they also owe a duty to M Co Ltd to disclose any “material” information too.
* This information is clearly relevant to M Co Ltd, particularly as N Co Ltd is currently funding the litigation. Hence, the solicitor cannot continue to act for both parties.
94
A sole practitioner in a firm specialising in probate takes on a new client but has not provided any information about costs. In reply to a direct question from the client, the solicitor says they charge “the lower of either £300 an hour (£450 for more complex matters) or 3% of the gross estate.”
Has the solicitor provided enough information about costs?
No, the solicitor’s advice is too general.
The solicitor has a duty to provide accurate and clear information about how the client’s matter will be handled and priced.
95
A solicitor is acting for a client in a litigation matter. At the hearing, the client loses the case and is ordered to pay £5,000 towards the opponent’s costs. Outside court the solicitor says to their opponent, “Don’t worry. I’ll make sure that the £5,000 will be paid within the next 14 days.” Fourteen days have now elapsed, and the client has still not provided the solicitor with any funds to pay the costs.
Who can force the solicitor to comply with the promise?
The court.
The solicitor’s statement would amount to an undertaking and the solicitor has not complied with its terms. Whilst a failure to perform an undertaking may result in disciplinary proceedings being taken against the solicitor, only the court has the power to enforce an undertaking.
96
A solicitor is acting for a defendant in a personal injury matter. The case is settled on the basis that the defendant will pay damages of £10,000. The solicitor undertakes that the £10,000 will be paid within seven days. The firm’s policy is that when an undertaking is given, a written note must be placed on the client’s file. The solicitor puts a written note on the file and then goes away on two weeks’ holiday. No one from the firm looks at the file in the solicitor’s absence and consequently the £10,000 is not paid on the due date.
Who has breached the Code of Conduct?
The solicitor, the firm and the COLP are all in breach of the Code of Conduct.
97
A solicitor represents a builder who sustained an accident at work. Last year, the solicitor represented the builder in relation to injuries sustained in a road traffic accident. The medical report attributes injuries to the recent accident at work that the solicitor knows were sustained in the prior road traffic accident. The expert was not informed of the prior accident by either the solicitor or the client.
What are the solicitor's professional conduct obligations?
The solicitor is obligated to inform the client that the expert report cannot be used unless the expert that prepared the report is properly informed of the underlying facts and the report is amended or another report is obtained.
98
What is the fundamental purpose of the *SRA Code of Conduct for Firms (2023)*?
To create and maintain the right culture and environment for delivering competent and ethical legal services to clients.
99
What type of firm does the *SRA Code of Conduct for Firms (2023)* apply to?
Any firm authorised to provide legal services, including sole practices.
100
Regulatory action can be taken for serious breaches of *SRA Code of Conduct for Firms (2023)*. Who can such action be taken against?
1. Firm itself
2. Managers
3. Compliance officers
4. Employees who have responsibility for Code's compliance
101
In addition to the *Code of Conduct of Firms (2023)*, do the *SRA Principles* also apply to firms?
Yes.
102
Like the *Code of Conduct for Solicitors*, the *Code of Conduct for Firms* requires firms to **maintain trust and act fairly**. But what does it also mandate just for firms?
Firms must provide monitoring, reporting, and publishing of **workforce diversity data** as required by the SRA.
103
According to the *SRA Code of Conduct for Firms (2023)* , who specifically must ensure they don't **unfairly discriminate** or **abuse their position** to take **unfair advantage** of others?
1. Managers
2. Compliance officers
(+ solicitors)
104
What are FOUR examples of when a law firm might be deemed to take **unfair advantage of clients**?
1. Overcharging
2. Inappropriate referrals
3. Putting firm's interests about client's
4. Allowing third parties to make unsolicited calls to clients
105
A firm is under a duty to ensure that all **undertakings** made to the firm’s clients are performed within an agreed time (or reasonable time if no agreed set time).
What does this require of the firm in practice?
**Centralised controls** to supervise the discharge of undertakings and a process for (a) giving and (b) recording undertakings.
106
# True or False:
Undertakings can only be given by qualified solicitors.
False, a trainee solicitor can give an undertaking.
107
# True or False:
A promise to give an undertaking at a later date can itself be an undertaking.
True.
108
Who can enforce undertakings?
SRA
Courts
109
Which of the *SRA Principles (2018)* are contravened if an undertaking is breached?
* **Principle 1** - administration of justice and rule of law
* **Principle 2** - public trust and confidence
* **Principle 4** - honesty
* **Principle 5** - integrity
* **Principle 7** - best interests of client
110
If a solicitor in a firm gives an undertaking that they do not then perform, can *the firm* be compelled by the court to do any of the following?
* Perform the undertaking
* Award compensation to the affected individual
* Be liable for contempt
| (why? why not?)
No, a court can compel an *individual* solicitor to perform / compensate an undertaking because they are an **'officer of the court'**. Similarly they can be held in potential contempt.
But practices are not officers of the court so the court's supervisory jurisdiction does not extend to them.
111
Law firms are required to comply with all regulatory arrangements. What FIVE things does this entail?
| (Hint: FIRMS)
1. **F** inancial stability and viability monitoring.
2. **I** dentifying risks to business.
3. **R** ecords to demonstrate compliance.
4. **M** anagement - COLP and COFA.
5. **S** taff compliance.
112
What are a **Compliance Officer for Legal Practice (COLP)'s** FOUR main responsibilities?
1. COMPLY: Ensure compliance with **conditions of firm's authorisation** and **SRA's regulatory arrangements**.
2. AVOID: Ensure the firm's managers and interest holders and those they employ / contract do not **cause or substantially contribute to a breach** of the SRA's regulatory arrangements.
4. REPORT: Promptly **report** to the SRA any facts or matters they reasonably believe are capable of amounting to serious breach of the conditions of firm's authorisation or applicable SRA's regulatory arrangements.
5. INFORM: Promptly inform the SRA of any facts or matters the COLP reasonably believes should be brought to its attention so that it may investigate a **potentially serious breach** or exercise regulatory powers.
113
What are a **Compliance Officer for Finance and Administration (COFA)'s** THREE main responsibilities?
1. Ensure the firm, its managers, and employees comply with obligations imposed under the **SRA Accounts Rules**.
2. Promptly **report** to the SRA any facts or matters that COFA reasonably believes are capable of amounting to a serious breach of the SRA Accounts Rules.
3. Promptly inform the SRA of any facts or matters the COFA reasonably believes should be brought to its attention so that it may investigate a **potentially serious breach** or exercise regulatory powers.
114
Law firms and solicitors should routinely keep reports on THREE main things. What are they?
1. Risk assessments
2. Compliance reviews
3. Incident reports
115
# True or False:
Law firms have the same duties as individual solicitors to be co-operative and accountable to the SRA and clients.
True.
116
What is the purpose of applying the standards of service and competence that apply to individual solicitors at firm level?
To enable the SRA to take enforcement action against the firm where the failure to comply pervades the entire practice.
117
# True or False:
Managers and compliance officers (COLPs and COFAs) are not personally accountable for actions of the firm or solicitors within it since they are employees.
False, the Code of Conduct for Firms imposes personal accountability managers and compliance officers.
118
How does the *Code of Conduct for Firms* define **"manager"**?
| Hint: there are FIVE
* Sole principal in recognised sole practice
* Member of an LLP
* Director of a company
* Partner in a partnership
* A member of the entity's governing body
119
# True or False:
Managers and compliance officers are jointly and severally liable for breaches of the STaRs.
True.
120
According to the *SRA Enforcement Strategy (2023)* regulation seeks to do what THREE things?
1. Ensure strong, competitive, highly effective legal market
2. Ensure a focus on quality and client care
3. Embed a culture of ethical values and behaviours
121
The *SRA Transparency Rules (2018)* provide that all regulated law firms and individual freelance solicitors must **display prices and service information** in a clear and easy to understand format, if they publish that they work in SEVEN areas. Which are missing?
* Conveyancing (residential)
* Immigration (excluding asylum)
* Employment tribunals (wrongful or unfair dismissal)
* Licensing applications (business premises)
* Probate (uncontested)
* Motoring offences (summary offences)
* Debt recovery (up to £100,000)
122
The *SRA Transparency Rules (2018)* provide that all regulated law firms and individual freelance solicitors must **display prices and service information** in a clear and easy to understand format, if they publish that they work in SEVEN areas. Which are missing?
* Probate (uncontested)
* Motoring offences (summary offences)
* Debt recovery (up to £100,000)
* Conveyancing (residential)
* Immigration (excluding asylum)
* Employment tribunals (wrongful or unfair dismissal)
* Licensing applications (business premises)
123
What is required for prices to be "displayed [to clients] in a clear and easy to understand format"?
* Publishing prominently on website
* Making available on request without client supplying detailed information first
* Full cost (or average range) provided, and whether VAT included
* Explanation of charging basis (hourly rates / fixed fees)
* Likely disbursements / costs
* Payment schedules (if conditional or damage-based fees)
124
What is required for prices to be "displayed [to clients] in a clear and easy to understand format" on a law firm's website?
* What services are included / excluded in stated price
* Qualification and experience of anyone carrying out work
* Key stages and typical timeframes
* Explain technical terms
125
The *SRA Transparency Rules* require law firms or authorised bodies to display their SRA number in a prominent place on their website (or, for an authorised body, on the relevant section of a website relating to legal services). As well as the clickable SRA logo badge.
What should also be included on letterheads and emails?
"authorised and regulated by the Solicitors Regulation Authority"
126
# True or False:
Only solicitors can be referred to the Solicitors' Disciplinary Tribunal.
False, solicitors, firms, and non-solicitors at law firms can all be referred to the SDT.
127
A female solicitor is instructed by a male client in an acrimonious litigation matter. The case progresses properly for 2 months. Then the solicitor receives a letter from the client saying that the client has come to the view that women are too weak for robust litigation. The client goes on to say that he has now instructed a male solicitor in a different firm. The client asks for his file to be transferred to his new solicitor without delay. On looking at the client’s file, the solicitor sees that there are fees outstanding of £2,000 for the work that she has completed to date on the case.
What must the female solicitor do?
The solicitor can retain the file until her proper fees are paid.
The solicitor is under no obligation to hand over the file before payment unless ordered to do so by the court, but the solicitor may agree to hand over the file.
128
A client asks a solicitor to act in connection with an appeal against the refusal of planning permission. The solicitor is on the planning committee of the local council.
Can the solicitor accept the instructions?
No, the solicitor cannot act for the prospective client under any circumstances.
129
A solicitor receives instructions to act for the claimant in a litigation matter. The solicitor’s colleague in the firm’s litigation department already acts for the defendant in the same matter.
Can the solicitor act for the claimant?
No, because there is a conflict of interest.
130
You previously acted for a client in relation to a boundary dispute with their neighbour. You found the client very demanding, and they complained about the length of time the case was taking and the costs involved. Your firm’s internal complaints process did not uphold the client’s complaint and the client proceeded to complain to the Legal Ombudsman (LeO). Sadly, your client then passed away. The next of kin is an adult daughter and she is angry on behalf of her parent. The daughter wishes to make a new complaint to the LeO as the personal representative and residuary beneficiary of her parent’s estate.
Can the daughter make a new complaint to the LeO?
Yes, the daughter can continue the parent’s existing complaint to the LeO.
131
An in-house solicitor, with the help of external solicitors, is advising their client on a settlement agreement with a counterparty. The settlement negotiations are proceeding well and a figure has been agreed. The counterparty agrees to place the settlement money into the external law firm’s client account pending signing of the settlement agreement. Before the settlement agreement is actually signed, the external advisers issue the in-house solicitor a bill for their assistance, letting the in-house solicitor know that they have settled this invoice by making a deduction from the sum held in the client account.
What should the solicitor do?
Misuse of money in client account is considered a serious matter under the SRA Enforcement Strategy. However, on these facts, it is not necessarily a matter that would need reporting.
Although there is an obligation under paras 7.7 and 7.8 to report promptly any facts or matters that they reasonably believe are capable of amounting to a serious breach, on the facts of this scenario a better approach would be to ask further questions of the firm and give them the opportunity to remedy the mistake.
132
Person 1 and Person 2 attended the offices of a firm. Person 1 was 78 years old at the time. Person 2 was 25 years old. They were seen together by a newly qualified solicitor. Person 2 explained that both he and Person 1 wished to instruct the firm to act for them in transferring Person 1’s home to Person 2 for no consideration, as a “gift of love and affection”. The solicitor did not ask any questions about the relationship between the parties, or the reason for the proposed transfer. He did not explain the risks of the transaction. He subsequently conducted the conveyancing, and the home was transferred to Person 2. It has been discovered that Person 2, is in fact, a rogue trader who fraudulently secured the transfer of title of Person 1’s home.
The solicitor has impeccable academic references. For this reason, he was not supervised by a senior partner at all when representing Persons 1 and 2.
What are the professional conduct implications (if any)?
The senior partner has breached conduct regulations by failing to ensure that there are systems in place to effectively supervise staff and to ensure that staff are competent.
133
A solicitor has been instructed to represent a defendant in a criminal trial. The solicitor has put the court, and the Crown Prosecution Service (CPS) on notice that they will be applying to stay proceedings on the grounds of “abuse of process”. The hearing for the application is scheduled to take place the following week. Prior to the hearing, the solicitor spends several hours researching the law, they discover that the leading authority from the Court of Appeal on “abuse of process” is extremely helpful to their client’s case. The solicitor plans to rely on the leading authority at the hearing.
The following week, on the way to the hearing, the solicitor reads a case report published in a national newspaper. The Supreme Court judgement overrules the previous Court of Appeal decision. The new authority is extremely unhelpful to the defendant’s application.
What should the defendant's solicitor do?
The solicitor should draw the court’s attention to the Supreme Court judgment because the solicitor owes a duty to the court to be honest and to not mislead the court by omission.
The client's consent is not required in this context.
