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PCR > 2.1 Code of Conduct: Chapters > Flashcards

2.1 Code of Conduct: Chapters Flashcards

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1
Q

Who is the Code of Conduct for - only private, or in-house too?

A

Both

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2
Q

What parts of CoC are mandatory?

A

Outcomes and Principles

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3
Q

Who is CoC binding on?

A

Non-lawyers (e.g. manager of ABS) and lawyers

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4
Q

What parts of CoC are not mandatory

A

IB

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5
Q

What Principle takes precedence if conflict

A

One that best serves public interest

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6
Q

What does ‘you’ include

A

Both firm and individual S

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7
Q

Three things to do if new client/instructions

A

Conflicts check, CCL and CDD (if MLR applies)

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8
Q

What Principle is most important for Chapter 1: Client Care

A

P(5) (proper standard of service)

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9
Q

3 things to consider before accepting new instructions

A

CDD may be needed, cannot breach law/CoC, and must know who client is

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10
Q

What should S do if instructions from 3rd on behalf of company

A

BM to check authorised

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11
Q

Is CCL mandatory?

A

No, but helps achieve Outcomes

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12
Q

What helps to achieve O(1.3)

A

Include paragraph in CCL informing client of potential need to cease acting if e.g. CoI

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13
Q

What must client be told in CCL

A

Regulation, sufficient info to make informed decisions, continuous estimate of costs, day-to-day supervisor, and responsibilities

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14
Q

What to do re: CCL if client established

A

Annual CCL + confirm instructions if new matter

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15
Q

What should S explain to client for costs

A

Hourly rates, disbursements, potentially may have to pay other side’s costs, plus VAT etc.

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16
Q

What should S consider re: costs to help client make informed decision

A

If outcome justifies cost, how fees will be calculated, and VAT + disbursements on top of fees

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17
Q

What must clients be told about regulation

A

Firms authorised and regulated by SRA

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18
Q

How must complaints procedure be set out and told to client

A

In writing and given at outset

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19
Q

Must inform client’s right to complain to who

A

Legal Ombudsman

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20
Q

What Principle is most relevant when terminating retainer

A

P(6) maintaining public trust

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21
Q

What is the general rule on ceasing acting for client

A

Only when matter complete

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22
Q

What does S need to cease acting for client

A

Good reason

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23
Q

Example of good reason to cease acting for client

A

Failing to pay bills or breach of CoC

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24
Q

Principle most relevant to Chapter 2, equality and diversity

A

P(9), encourage equality of opportunity and respect for diversity

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25
Who has the main responsibility for complying w/ Chapter 2
Managers and partners
26
Can the firm priorities obligations (e.g. beliefs) to employees over Os to clients?
No
27
What is the basic rule under Chapter 2?
Do not discriminate unlawfully, and respect diversity
28
What must firms do under Chapter 2 for e.g. disabled clients
Make free reasonable adjustments
29
Is 'discrimination' defined in the CoC?
No
30
What reasonable adjustments might a firm be required to make to avoid discriminating?
E.g. finding a translator, but not taking on word re: religion they have insufficient knowledge of
31
What can a firm have to help comply with Chapter 2
Written diversity policy, training employees, and monitoring if policy needs updating
32
Is it mandatory to have a written diversity policy?
No
33
Three Principles that especially apply to Chapter 3
P(3) independence, P(4) BI, P(5) proper standard
34
When can S not act per O(3.4) & (3.5)
If own or client conflict
35
When can S act despite O(3.5) prima facie applying
If exceptions apply
36
Glossary definition of client conflict
Separate duties to act in BI of 2+ clients in same/related matter and duties conflict (or significant risk)
37
What is the 'same/related matter' for client conflict?
Same asset/matter, or reasonable relationship between the same
38
How to work out if exceptions apply to O(3.5)
Glossary --> specific IBs --> general IBs
39
Two general IBs disapplying exception to O(3.5)
Direct conflict or negotiating on substance
40
What is the definition of O(3.6) SCI
Clear common purpose and strong consensus, so conflict becomes peripheral
41
Specific IBs applying to O(3.6)
3.5, 3.12 and 3.11
42
What happens if O(3.6) does apply?
Need informed + written consent, reasonable to act, and benefits outweigh risks
43
When is O(3.6) likely to be in BI of clients
If similar work to be carried out for both
44
What is the definition of O(3.7) C4SO
If attained, becomes unattainable for other
45
How must the object be attained for O(3.7) to apply?
Liquidation, private auction or tender
46
When does O(3.7) NOT apply (for what kinds of clients)
C &D, seller & buyer
47
What three IBs apply specifically to O(3.7)
3.5, 3.6 and 3.13
48
What happens if O(3.7) applies?
Need informed and written consent, ensure employees only work for one client, reasonable to act and benefits outweigh risks
49
General rule on Chapter 4
Keep client info confidential and disclose all material info
50
How long does duty of confidentiality last
Forever, unless waived/in public domain/under statute
51
Which one takes precedence out of O(4.1) and O(4.2)
O(4.1) confidentiality
52
What should S do if unsure if O(4.1) duty of confidentiality overridden?
Liaise with COLP
53
When can S agree to act for A if confidential info on B which is material to A?
Safeguards in place
54
What happens if outsourcing e.g. photocopying to 3rd under Ch.4?
3rd must also safeguard
55
Exception to duties of confidentiality and disclosure
O(4.4) have safeguards
56
When does O(4.4) NOT apply (IB)
Lesser/no duty of disclosure, risk of serious injury, or prohibited by law
57
Two limbs to O(4.4)
Info must be both material AND adverse interest
58
When is info 'material' for O(4.4)
Material relating to particular matter - not info of general interest
59
What is an 'adverse interest' for O(4.4)
E.g. one party likely to become opposing party in dispute
60
What happens if only one limb applies under O(4.4)
May be able to act with safeguards if can maintain public trust (P(6))
61
When is O(4.4) likely to be used
If one client is a former client - UNLIKELy if both clients are current clients
62
Per Ch.5, what is S?
Officer of the court
63
What is S's duty to the court?
Overriding
64
What must S inform client of re: duty to the court?
Of situations when duty to the court overrides O to client
65
Who do duties under Ch.5 apply to?
FIRM, so even if one lawyer not in attendance at court, still applies
66
What does deceiving under O(5.1) require
Knowledge
67
Does misleading the court require knowledge?
No - inadvertent
68
Which is more likely to = misconduct - deceiving or misleading the court?
Deceiving
69
What must S do if aware of misleading the court?
Inform court ASAP w/ client's consent, or cease acting for client if client refuses

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