Final Review: Ethics

Question 1

What are the 7 mandatory principles that a solicitor must follow?

Answer 1

A solicitor must act:
1) to uphold the rule of law
2) to uphold public trust in the legal profession
3) with independence
4) with honesty
5) with integrity
6) to encourage DEI
7) in the best interest of each client

Question 2

If two or more of the mandatory principles come into conflict, which takes precedent?

Answer 2

Whichever safeguards the wider public interest

Question 3

What are a solicitors obligations to any disabled clients or employees?

Answer 3

To provide reasonable adjustments to ensure they are not placed at a substantial disadvantage compared to others.

NOTE: Solicitor/firm needs to provide this, cannot pass along the cost.

Question 4

When may a solicitor compensate a witness?

Answer 4

• Legitimate travel expenses
• Lost wages

Question 5

When can a solicitor NOT compensate a witness?

Answer 5

• To give favourable evidence
• Contingent on a favourable result in the case

Question 6

What should a solicitor do if they discover their client has committed perjury while testifying?

Answer 6

Immediately urge them to tell the truth, and if they don’t agree, the solicitor must cease their representation.

Question 7

May a client leave a gift to the solicitor drafting their will?

Answer 7

Yes, if:
- The gift is not significant in relation to the estate
- The solicitor is related to the client and is not being treated any more favourably than others
- Significant gift made after client receives independent legal advice

Question 8

What are the exceptions to a solicitor acting for 2 clients despite a potential conflict?

Answer 8

Substantially Common Interest
- e.g., forming a company, purchasing land jointly
- Must get both clients informed, written consent
- All confidential info must be safeguarded
- Must be reasonable for the solicitor to act

• Competing for the Same Objective (e.g., purchasing the same asset such as a company)

Question 9

When is the duty of confidentiality not breached? (i.e., when is disclosure of client information allowed)

Answer 9

• Client consents
• Disclosure required by law
• Solicitor being used to perpetrate crime/fraud

Question 10

A solicitor is at a dinner party with friends, when the overhear someone talking about a matter that is material to their client. Must they tell their client?

Answer 10

Yes. There is a near absolute duty to disclose any information material to the retainer of which the solicitor is aware.

Question 11

May a solicitor disclose the contents of a will to a beneficiary before the testator dies?

Answer 11

No

Question 12

What can a firm do if a current client asks for representation against a former client?

Answer 12

1) Accept the new client and put effective measures in place so that there is no real risk of disclosure of the former client’s confidential information.

2) Obtain former clients informed, written consent

3) Decline to act for the new client

Question 13

What should a solicitor do if they become aware that another solicitor in their firm has committed a serious breach of a regulatory arrangement?

Answer 13

Report to COLP, who will report to SRA.

NOTE: The solicitor does not need to check that the COLP has actually reported the conduct to the SRA, unless they KNOW that the COLP is not going to, in which case they need to report directly.

Question 14

What should a solicitor do if they accidentally disclose sensitive information to a 3P?

Answer 14

• Ask 3P to return or destroy information
• Report the disclosure to the COLP + client

Question 15

How must firms handle client complaints?

Answer 15

Promptly, fairly, free of charge

Question 16

Who should a client complain to first? Who next?

Answer 16

Start with the solicitor or their firm

If not resolved within 8 weeks, firm must inform the client in writing of their right to complain to the Legal Ombudsman and the procedure to do so.