You are employed as a solicitor in private practice. You are assisting with a
matter in which a client is assigning the remaining 5 years of a commercial
lease. The assignee is, however, threatening to pull out due to the state of
decoration of the premises. After consulting your client, you telephone the
assignee’s solicitors and give an undertaking on behalf of your client that all
the internal walls will be given a fresh coat of paint before the assignment
takes effect at the beginning of next month. They confirm that they are
satisfied with this.
If your client fails to decorate the walls as promised, which one of the
following statements is correct?
(a) There will be nothing the assignee can do as the undertaking was not
given in writing.
(b) Your client will be personally liable for the costs of re-decoration as the
undertaking was given on his behalf.
(c) You, but not your firm, may be subject to disciplinary action by the SRA.
(d) Both you and your firm may be subject to disciplinary action by the SRA.
(d) See 1.3 of SRA Code for solicitors & SRA Code for firms.
With respect to a solicitor firm’s complaints handling, which one of the
following statements is incorrect?
(a) Clients should be informed in writing at the outset of their matter of their
right to complain and how complaints should be made.
(b) Any charges to investigate complaints must be transparent.
(c) All clients should be informed in writing both at the time of
engagement and at the conclusion of the complaints procedure, of their
right to complain to the Legal Ombudsmen, the time frame for doing so
and full details of how to contact the Legal Ombudsman.
(d) Clients’ complaints should be dealt with promptly and fairly.
(b) See 8.5 of SRA Code for solicitors & 7.1 SRA Code for firms.
You are a solicitor employed by a firm of solicitors who conduct criminal
defence work. You act for a client who faces criminal charges before the
Magistrates Court with respect to a commercial burglary offence. The client
is in the cells having been remanded in custody by the police as he was of
no fixed abode. The Prosecutor is objecting to bail on the grounds that the
client is a bail risk as he is of no fixed abode. In consultation with the client
he gives you an address to put forward but states that he has never lived
there and has no intention of going to that address if bailed.
Which one of the following statements is the most appropriate course of
action to take in these circumstances?
(a) As you are required to act in the client’s best interests reluctantly put
the address forward to the court, but mention as little about the
address as possible.
(b) Ring a colleague at the office to come and deal with the client as you
do not like what your client is asking you to do.
(c) Advise the client that you cannot do as he asks. You cannot act for
him in the bail application unless he either provides you with an
address that is available to him or instructs you to make enquires for
a place through bail support.
(d) As you are required to uphold the constitutional principle of the rule of
law you should inform the client that you are no longer prepared to act
on his behalf and notify the Court and CPS of the client’s plans to put
forward a false address.
(c) See 1.4 SRA Code for solicitors & SRA Code for firms.
A solicitor has an appointment to see a client regarding a family matter
regarding contact with a child. It transpires during the meeting that the client
is in a same sex relationship. Due to the solicitor’s personal belief about such
relationships, after the meeting they consider ending the retainer with the
client.
Which one of the following would be the most appropriate response?
(a) The retainer may not be ended as the SRA Standards and Regulations
prohibit a solicitor from discriminating based on sexual orientation.
(b) A solicitor has a total discretion on whether to accept instructions on a
case and may end the retainer if it is felt appropriate.
(c) The solicitor should consider transferring the file to a colleague happy
to deal with the matter.
(d) The solicitor may end the retainer but the client may not be charged
for any work undertaken on the matter.
(a) See Principle 6 & 1.1 SRA Code for solicitors & SRA Code for
firms
If in any situation there is a conflict between two or more of the SRA
Principles, which one of the following statements is the most appropriate
response?
(a) (b) (c) (d) The Principle which takes precedence is the duty to act in the best
interests of the client.
Should the Principles come into conflict, those which safeguard the
wider public interest (such as the rule of law, and public confidence
in a trustworthy solicitors’ profession and a safe and effective market
for regulated services) take precedence over an individual client’s
interests.
All of the Principles have equal standing and where there is a conflict
the protection of the public is paramount.
The Principles are not mandatory and guidance must always be
taken from the SRA Code of Conduct for Solicitors and the SRA Code
of Conduct for Firms.
(b) See paragraph 2 of the introduction to the principles.
Calum is a trainee solicitor in a firm of solicitors regulated by the SRA.
He has been asked to give advice to the firm’s marketing committee in
relation to proposed marketing initiatives. One of the proposals is for
administrative staff to approach potential clients in a local shopping
centre in order to try to generate work for the wills and probate
department.
Which one of the following statements is the correct advice that Calum
should be giving the committee?
(a) As the proposed marketing is being conducted by
administrative staff they are not governed by the SRA Code of
Conduct for Solicitors and therefore this is permitted if the
marketing itself complies with the general law.
(b) A solicitors firm is permitted to market its services in any
manner it choses as long as it acts in accordance with the SRA
Principles and the general law.
(c) The proposed marketing is permitted if any publicity in relation
to the firm is accurate and not misleading, including that
relating to charges and the circumstances in which interest is
payable by or to clients.
(d) As the marketing suggested involves approaching unknown
members of the public it would be deemed an unsolicited
approach and is therefore not permitted by the SRA Code of
Conduct for Solicitors and SRA Code for Firms.
(d) See 8.9 SRA Code for Solicitors and 7.1 (c) of SRA Code for firms
Mount partnership is a firm of solicitors who predominantly deal with
conveyancing matters. An audit of the firm’s accounts department
shows that there are discrepancies in the firm’s office account. An
investigation by the firm’s accountants reveals that one of the equity
partners has been committing fraud by submitting false expense
invoices in the region of £20,000. Which one of the following
statements is correct?
3. (a) There is no obligation to report the matter to the SRA as the
person involved was not an employee of the firm.
(b) The SRA should be notified promptly of the matter as it relates
to serious breach of regulatory arrangements by a person
regulated by them.
(c) As the alleged fraud does not relate to client monies there is no
requirement to report the matter to the SRA.
(d) If the matter is not reported to the SRA the managers and
owners of the firm may face criminal charges.
b) See 7.7 SRA Code for Solicitors and 9.1(d) of SRA Code for firms
You are a solicitor who acts for a defendant in a Crown Court
prosecution. You become aware inadvertently that your client intends to
adduce evidence of a false alibi at trial.
Which one of the following statements is an incorrect response?
(a) If the client refuses to abandon that aspect of his case, you
must cease to act.
(b) By proceeding with the matter, you would be complicit in
another person deceiving or misleading the court and need to
take urgent steps to resolve the matter.
(c) You must try and persuade the client not to pursue that part of
his defence.
(d) As Principle 7 requires you to act in the best interests of the
client, you should take no action concerning your inadvertent
discovery.
- (d) See 1.4 SRA Code for Solicitors and SRA Code for firms and 1.4
SRA Code for Solicitors
You are a solicitor and work in the conveyancing department of a high
street practice. A local estate agent, who you have had some dealings
with, approaches you. She mentions that she would be interested in
entering into an arrangement whereby they refer clients to your firm, in
return for a payment representing 5% of the fees earned.
With respect to this proposal which one of the following statements is
correct?
(a) (b) (c) (d) You may enter into such an arrangement if your
independence and your professional judgement is not
prejudiced by virtue of the arrangement. The client does not
need to be informed but any arrangement must be in the
client’s best interests.
The SRA Code for Solicitors does not permit you to make
payments to an introducer in respect of client fees.
If the fee sharing agreement is in writing and clients are
informed of any agreement that is relevant to their matter, you
may enter into such an arrangement so long as your
independence and your professional judgement is not
prejudiced by virtue of the arrangement.
All types of fee sharing arrangements and referral fees were
banned by the Legal Aid, Sentencing and Punishment of
Offenders Act 2012.
(c) See 5.1 SRA Code for Solicitors and 7.1 (b) of SRA Code for firms
Which one of the following statements regarding equality and diversity
in accordance with SRA Standards and Regulations is correct?
(a) (b) (c) (d) The provisions apply only to clients of a firm.
The provisions apply only to the clients and employees of a firm.
The provisions apply to relationships with clients and others
such as employees and anyone else a lawyer comes into
contact with.
The provisions apply to relationships with clients and anyone
else a lawyer comes into contact with, save for employees who
are protected by other legislation.
c) See SRA Principles 6 and paragraph 1.1 of the SRA Code of
Conduct for Solicitors and SRA Code for Firms
- With respect to the Money Laundering, Terrorist Financing and Transfer
of Funds (Information on the Payer) Regulations 2017, which one of the
following best describes matters undertaken by a firm of solicitors in
which client due diligence is required?
(a) All matters.
(b) When participating in financial or real property transactions.
(c) All matters save for criminal litigation.
(d) All matters where clients receive advice covered by the FSMA
2000.
(b) Money Laundering, Terrorist Financing and Transfer of Funds
(Information on the Payer) Regulations 2017
You are working in a probate department. Your firm is acting in relation
to the distribution of the estate and has been instructed by the executors.
Probate has yet to be granted. You are contacted by telephone by one
of the beneficiaries, who has stated that they know that they are a
beneficiary in the will. They ask if you could you please confirm how
much they are entitled to and how long it will be until the grant of probate.
What is the correct response?
(a) You check the will and as the person is a beneficiary you give
them the information they have requested.
(b) You ask them to put the request in writing and you will respond
in writing as you are not happy to give the information over the
telephone.
(c) You confirm the names of the executors appointed in this
matter and refer the person to them.
(d) You explain that a will is confidential until probate is granted.
Without the consent from the executors you cannot disclose
any details to the potential beneficiary.
(d) See 6.3 SRA Code for Solicitors, see 12.1.2 of the Legal Foundations
Manual
You see a client for an initial attendance. The client has been asked to
attend the police station for interview regarding a sexual assault
allegation. In taking instructions the client confirms that the allegation
has been made by his 13 year old niece and confirms her name. You
recognise the name as you recently acted for his niece in the youth court
regarding a deception matter and you also represented her mother
approximately 2 years ago in relation to the child’s non-attendance at
school due to truancy and it was disclosed that her daughter was
abusing controlled drugs and was having mental health difficulties.
Neither the niece nor her mother have open cases with your firm. Which
one of the following statements is the correct course of action?
(a) You tell the client at the meeting that you have acted for the child,
who has made the complaint and that she would be an unreliable
witness as you have acted for her in the past.
(b) You advise the client that you cannot take instructions from the
client due to previous dealings with his niece.
(c) You remain silent regarding the potential conflict and put a note
on the file for the matter to be under constant review depending
on what happens at the police station.
(d) You decline to act and tell the client that in the present instance
you are unable to take instructions and apologise for this fact.
(d) See SRA Principle 7, 6.3 and 6.4 SRA Code for Solicitors and SRA
Code for firms
A client instructs you in relation to a conveyancing matter. You are not
authorised by the FCA and have no expertise in financial services. Your
client confirms that he is to obtain an endowment mortgage and instructs
you to proceed with the transaction.
You read something in The Times newspaper regarding the mis-selling
of that particular product. Which is the correct statement?
(a) You decline to take the matter further for the client.
(b) You must advise your client against proceeding but if the client
insists following that advice you can go ahead.
(c) You must advise the client that he needs to seek advice from
an advisor authorised to give investment advice.
(d) The endowment is a matter for him and you do not need to
comment at all
(c) SRA Principle 7 and FSMA 2000. See also chapter 17 Legal
Foundations Manual
Your firm is approached by a new client, Wendy Smith in relation to a
personal injury claim. The injury occurred when Wendy slipped on the
floor while she was shopping at Liverpool Frozen Foods Ltd. Before
instructions are accepted, a conflict search is carried out and it appears
the firm are already acting for Liverpool Frozen Foods Ltd, defending a
claim being brought against them by an employee for unsafe work
practices on the shop floor.
In relation to these facts which one of the following is correct:-
(a) As this is a litigation matter, the firm must accept instructions from
Wendy Smith.
(b) The firm can act for Wendy Smith while continuing to act for
Liverpool Frozen Foods Ltd in the other matter, but only by
obtaining both clients’ written consent.
(c) On the basis that the two matters are unrelated, there is no conflict
of interest under the SRA Standards and Regulations if
instructions from Wendy are accepted.
(d) The firm cannot act for Wendy Smith, as information held by the
firm may be useful to her case and there are clearly conduct
reasons as to why your firm should not act.
(d) See SRA Principle 7, 6.2, 6.3 and 6.4 SRA Code for Solicitors and
SRA Code for firms
