Managing a client's instructions?

Question 1

What are the the three Cs?

Answer 1

1. Customer Due Diligence
2. Conflict check
3. Client care letter

Question 2

What does CDD relate to?

Answer 2

Involves **identifying your client **and verifying their identity on basis of document, data or information from a reliable source.

(Reg 27): Carry out a CDD when:
* establishing a business relationship
* carrying out an occasional transaction
* suspect money laundering or terrorist financing

Question 3

What is involved in the identification and verification?

Answer 3

• Simply being told or coming to know client’s identifying details (name &address)
• Obtaining some evidence which supports claim of identity (viewing original document or electronic verification).

Question 4

Why must one carry out a conflict check?

Answer 4

SRA Code of Conduct 6.2 states that one should not act where there is a conflict of interest.

there is no one standard conflict check procedure

Question 5

Which codes of conduct does the client care letter help to satisfy?

Answer 5

• CCS 3 - Service and competence
• CCS 8 - complaints handling, client information

Question 6

What does CCS 8.3 ensures?

Answer 6

• ensure that client are informed in writing at the time of engagement about:
  
  • right to complain about your services and charges
  • how a complaint can be made and to whom
  • any right they have to make a complaint to Legal Ombudsman and when they can make complaint.

Question 7

What does CCS 8.6 say?

Answer 7

• gives clients information in a way they can understand
• ensure they are in a position to make informed decision about the services they need, how their matter will be handled and options available to them.

Question 8

What are the three reasons in why you might not accept instructions from the client?

Answer 8

1. If you would be breaching the law
2. If you cannot deliver the service in a competent or timely manner
3. If you are not authorised to act on the client’s behalf

Question 9

What does CCS 8.7 ensure?

Answer 9

• ensure that clients receive the best possible information about how their matter will be priced
• and both at the time of engagment and as their matter progresses, about the likely overall cost of the matter and any costs incurred.

Question 10

Which CCS provisions relates to providing a competent service?

Answer 10

CCS 3.2 which states that you should ensure that you provide the service to clients is competent and delivered in a timely manner.

Question 11

Which CCS provision relates to being authorised to act on your client’s behalf?

Answer 11

CCS 3.1: you only act for clients on insutcruction from the client or someone properly authorised to provide instructions on their behalf.

However, in circumstances where you have legal authority to act but not possible to obatin instructions of your client, then you are subject to the overriding obligation to protect your client’s best interest.

Question 12

What does CCS 1.1 state?

Answer 12

You do not unfairly discriminate by allowing your personal views to affect your professional relationships and the way in which you provide your service.