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Question 1

Henry VIII power

Answer 1

(C) This power is best described as a Henry VIII power. If an Act of Parliament grants to the government the power to amend Acts of Parliament by passing secondary legislation, that power is known as a Henry VIII power. (A) is incorrect because the Henry VIII powers are not part of the royal prerogative. They arise from the authority granted by Acts of Parliament. (B) and (D) are incorrect because they are not the best answers. Although the Henry VIII powers are exercised by passing secondary legislation (which is also called ‘delegated legislation’ or just ‘regulations’), the power here is more specifically described as a Henry VIII power. (E) is incorrect because it misnames the power here

Answer 2

(C) This power is best described as a Henry VIII power. If an Act of Parliament grants to the government the power to amend Acts of Parliament by passing secondary legislation, that power is known as a Henry VIII power. (A) is incorrect because the Henry VIII powers are not part of the royal prerogative. They arise from the authority granted by Acts of Parliament. (B) and (D) are incorrect because they are not the best answers. Although the Henry VIII powers are exercised by passing secondary legislation (which is also called ‘delegated legislation’ or just ‘regulations’), the power here is more specifically described as a Henry VIII power. (E) is incorrect because it misnames the power here

Question 3

A solicitor is considering opening a file for her two prospective clients who want to set up a business and contribute different amounts of time and money to the business. The prospective clients have not agreed on the detail of the sums and time involved, and the solicitor suspects that they will not be able to come to a consensus. The solicitor declines to act for both.

Answer 3

B) It is up to the solicitor to decide how to apply the conflict rules and some might argue that to refuse to act for both is too risk-averse. But the solicitor is under a duty to consider whether there will be a ‘significant risk’ of a conflict at the outset of the retainer and having identified this risk, best practice would demand that he refuse to act for both. (A) is incorrect because recognising a significant risk of a conflict is a sufficient reason to decline to act. (C) is incorrect because the conflicts of interest rules generally apply to a whole firm, not just individual solicitors within the firm. (D) is incorrect. Neither of the exceptions allowing a solicitor to act in a potential conflict situation apply here, so the fact that the clients might be prepared to consent is not sufficient to allow the solicitor to act. Although the prospective clients have the common interest of setting up a business, their inability to come to a consensus suggests that it is not reasonable for the solicitor to act, so the ‘substantially common interest’ exception would not apply. (E) is an incorrect statement. In fact, a solicitor may represent multiple clients with a substantially common interest despite a conflict if certain requirements are met, but that exception would not apply here.Q

Question 4

A solicitor is acting on a conveyancing matter and discloses in the client care letter that he has paid a referral fee for the work. The client complains that this is a ‘prohibited referral fee’ and, as such, the solicitor is not permitted to make such a payment.

Which of the following statements best describes whether the client is correct?

Answer 4

D) The client is not correct as this is not a prohibited referral fee and it was disclosed to the client at the outset. A ‘prohibited referral fee’ is the payment or receipt of referral fees in claims for damages following personal injury or death. The SRA Code of Conduct for Solicitors, RELs and RFLs also prohibits referral fees (and all payments relating to referrals or introductions) in respect of clients who are the subject of criminal proceedings. The referral fee in this conveyancing matter was not prohibited and the client was properly notified. (A) is incorrect because not all referral fees are prohibited. (B) is incorrect because although a client should be notified of any arrangements that are relevant to the client’s instructions, there is no rule requiring the client’s advance written consent to a referral arrangement. (C) is incorrect because referral fees are generally permitted except in claims involving personal injury or death, or in respect of clients who are the subject of criminal proceedings. (E) is incorrect because prohibited referral fees are prohibited even if the client consents.QUESTION ID: ETH041

Question 5

A solicitor has been engaged to act in a discrimination matter for a client. The client does not speak English, and a colleague at the solicitor’s firm who speaks the client’s language attended the solicitor’s initial meeting with the client to provide translation services. The solicitor intends to send the client the firm’s client care information, including information as to the client’s options for making a complaint.

Which of the following best describes what the solicitor is required to do?

ResponsesPress Enter or Space to submit the answer

Answer 5

(C) The SRA does not require a formal client care letter, but a solicitor must provide all required client care information to the client. Furthermore, a solicitor must give clients information in a way they can understand. This choice best describes what the solicitor must do. (D) is incorrect because complaints information must be provided in writing, so it would not be sufficient to transmit that information verbally. (B) is incorrect because it does not address the requirement to provide the information in a way the client understands. (A) and (E) are incorrect because a formal client care letter is not required.QUESTION ID: ETH086

Question 6

A commercial company has approached a solicitor to act on its behalf in respect of the potential acquisition of a rival business. The solicitor has shares in the rival business and will make a significant profit if the deal is completed. The solicitor discloses this to the company and advises them that if they take independent advice on this point then he will be able to accept their instructions. The company agrees to take independent advice.

Should the solicitor act for the company in these circumstances?

Answer 6

A) A solicitor must not act if there is an own interest conflict or a significant risk of an own interest conflict, such as in circumstances where the solicitor will gain a financial advantage if a client’s instructions are completed. (B), (C), (D), and (E) are incorrect because an own interest conflict is an absolute bar to acting.QUESTION ID: ETH130

Question 7

During a telephone conversation, a secretary in a solicitor’s firm told the solicitor on the other side of a transaction that £10,000 would be sent by bank transfer that day to complete the transaction. After their conversation the solicitor on the other side notified her client and took various administrative steps to prepare to close the file. The £10,000 was not sent. The solicitor on the other side is now demanding the money and accusing the secretary’s firm of being in breach of undertaking.

Is the secretary’s firm in breach of undertaking?

Answer 7

A) The secretary’s firm is in breach of undertaking because the secretary said that the £10,000 would be sent and it was not, and the other side placed reliance on the secretary’s statement. (B) is incorrect because an undertaking can be oral. (C) is incorrect because an undertaking can be given by a member of support staff; it does not have to be given by a solicitor. (D) is incorrect. It is true that the transaction did not complete, but this is not the reason the firm is in breach of undertaking. The firm is in breach because the secretary said that the £10,000 would be sent, and it was not. (E) is incorrect because the word ‘undertaking’ does not have to be used.QUESTION ID: ETH015

Question 8

A solicitor is asked to act for a husband in divorce proceedings. At the initial interview, the husband tells the solicitor that he has no income or capital, and so cannot pay his wife any money. He also tells the solicitor that he is the sole shareholder in a number of profitable offshore businesses, the existence of which his wife is ignorant. He forbids the solicitor from revealing the existence of the offshore businesses to his wife’s solicitor.

Which of the following statements best describes what the solicitor should do in these circumstances?

Answer 8

D) This choice best describes the solicitor’s position. The solicitor should refuse to act because this would involve misleading the wife’s solicitor, and, in due course, the court. (C) is also a correct statement, but (D) best describes the situation. The solicitor is not just permitted to refuse to act; the solicitor should definitely refuse to act. (A) is incorrect because the retainer is not yet in existence. Also, even if the retainer were in existence, the solicitor should not act on the client’s instructions in this situation. (B) is incorrect because there is no evidence of criminal wrongdoing and the solicitor has a duty of confidentiality to the husband. (E) is incorrect. By taking this position, the solicitor would breach their fundamental duty to act with integrity.QUESTION ID: ETH003

Question 8

A firm of accountants has contacted a firm of tax solicitors with a view to setting up a fee sharing arrangement in respect of any clients they refer to the solicitors. The accountants’ proposed contract for the arrangement states that the accountants will be giving the solicitors instructions on the clients’ behalf, and that the solicitors must use a particular case management system to enable the end-user client to log in and check the progress of their matter.

Which of the following statements best describes the solicitors’ position?

Answer 8

E) The firm of solicitors should not proceed with the arrangement because it would violate various Principles and provisions of the SRA Code of Conduct. The requirements of the contract may not always be in the clients’ best interests. The solicitors have a professional duty to take instructions directly from clients rather than the accountants, and to act with independence. The contract also raises a problem with client confidentiality and the use of the accountants’ case management system. (A) is incorrect. Fee sharing is not prohibited in most matters, but such arrangements still must not violate the Principles and the Code of Conduct. (B) is incorrect. Although it is true that the client must be informed of any fee sharing arrangement that is relevant to their matter, the solicitors should not enter into this particular arrangement because it may not be in the clients’ best interests. These issues are not resolved by informing the client of the arrangement. (C) is incorrect because a solicitor is generally allowed to share fees with any third party. (D) is incorrect because payments in exchange for a referral are generally permitted (with certain exceptions in personal injury matters or where the client is subject to criminal proceedings). However, as previously stated, fee sharing arrangements and payments for referrals must not violate a solicitor’s or firm’s other professional obligations.QUESTION ID: E

Question 9

Question
During a debate in the House of Commons on crime, an MP referred to a high-profile murder case currently before the criminal courts and said that the case against the defendant is overwhelming.

Has the MP done anything wrong?

Answer 9

(E) The MP has breached the sub judicie rule. Generally, MPs (and members of the House of Lords) have freedom of speech within Parliament under parliamentary privilege. However, out of respect to the separation of powers, the freedom of speech is limited by the sub judicie rule, which provides that, during debates, MPs (and members of the House of Lords) should not refer to cases currently ongoing before the courts. Here, the MP breached the sub judicie rule by referring to an ongoing case during the debate. (A) is incorrect because the royal prerogative belongs to the Crown and, in any event, an MP’s freedom of speech in Parliament is limited by the sub judicie rule. (B) and (D) are incorrect because, again, an MP’s freedom of speech in Parliament is subject to the sub judicie rule. (C) is incorrect because the doctrine of collective responsibility applies to government ministers, not Parliament. It requires ministers to support government policies before Parliament, despite their own views, and requires that policy discussions should be kept confidential.

Question 10

The House of Commons is about to debate a bill that would abolish the monarchy.

In which type of committee will the committee stage of the bill’s passage take place?

Answer 10

(A) At the committee stage, the bill will be considered in a Committee of the Whole House. The committee stage for the passage of bills in the House of Commons can take place in one of two committees: a Public Bill Committee or a Committee of the Whole House. Bills of ‘first-class constitutional importance’, a category to which a bill to abolish the monarchy would qualify, are debated in a Committee of the Whole House. (B) is incorrect because bills of ‘first-class constitutional importance’ cannot be considered in a Public Bill Committee. (C), (D), and (E) are incorrect because those committees are not involved in the committee stage for bills.Q

Question 11

The Prime Minister has decided to hold a referendum on whether the North of England should get its own Parliament, similar to the Scottish Parliament. Some ministers are in favour, whilst others, including the Chancellor and the Home Secretary, oppose the idea.

Which of the following is the best option available for the Prime Minister to address the disagreement among the ministers?

Answer 11

D) The Prime Minister’s best option is to suspend collective responsibility and allow ministers to campaign on either side of the referendum. Collective responsibility requires government ministers to support government polices in public and before Parliament. However, the Prime Minister is able to ‘set aside’ or suspend collective responsibility, and this has happened at previous referendums. When this is done, ministers are able to campaign on different sides, meaning that they are allowed, unusually, to disagree with each other in public. (A) is incorrect because it would not be possible to maintain collective responsibility while allowing ministers to campaign on either side of the referendum. Collective responsibility requires unanimous support of a policy by the ministers. (B) and (C) are incorrect because the Prime Minister, rather than Parliament or the King, has the authority to suspend collective responsibility. (E) is incorrect because the Prime Minister has no power to sack an MP.

Question 12

A Conservative government was elected at the last election. In their manifesto, the Conservatives promised that they would pass legislation to allow autonomous cars to be on the roads. Pursuant to that commitment, the House of Commons passed the Autonomous Cars Bill. Many members of the House of Lords are concerned about the safety of autonomous cars and are inclined to vote against the Bill.

Which of the following best explains the constitutional considerations that regulate how the House of Lords can respond to the Bill?

Answer 12

(B) Because the Bill is implementing a manifesto commitment of the government, the House of Lords is required by constitutional convention to grant a Second Reading to the Bill. Under the Salisbury Convention, the House of Lords will grant a Second Reading to a bill as a matter of course if the bill is implementing a commitment made by the party elected into government (here, the Conservative Party) in their manifesto. (A), (D), and (E) are incorrect because there are no such statutes. (C) is incorrect because of the requirements placed on the House of Lords by the Salisbury Convention.

Question 13

The government has agreed a new international treaty with Singapore. The government has laid the treaty before both the House of Commons and the House of Lords. After 14 days, the House of Commons voted against ratifying the treaty.

Answer 13

(C) The government can explain to Parliament why they still wish to ratify the treaty, and the House of Commons can hold a second vote. The power to ratify treaties is a royal prerogative power, but is regulated by a procedure laid down in statute. Ordinarily, the treaty is laid, with either House of Parliament having 21 days to vote against the treaty. If a House votes against ratifying and the government still wants the treaty ratified, it can explain to Parliament why, and then the House of Commons has a further 21 days to vote against ratifying the treaty. (A) and (B) are incorrect because the House of Lords does not get to vote the second time. (D) is incorrect because the House of Commons must be given an opportunity for a second vote. (E) is incorrect. Although there is an ‘exceptional case’ exception that allows for a treaty to be ratified without being laid before Parliament, the exception cannot be invoked to override the vote of either House of Parliament

Question 14

After a major political scandal involving the leadership of the party who were in government, a general election was held. The party who were in opposition won 450 seats in the House of Commons, and the party who were in government won 200 seats.

Which of the following best explains who will become Prime Minister?

Answer 14

(C) The Monarch will appoint the person who can command the confidence of the House of Commons as the next Prime Minister. By constitutional convention, the Prime Minister must be an MP who is able to command the confidence of the House of Commons. This is usually the leader of the political party with a majority of the seats in the House of Commons. As there are 650 seats in the House of Commons, a political party needs 326 seats to have a majority. Here, the party that were in opposition has won 450 seats and are now in the majority. The previous Prime Minister would therefore resign, and the Monarch would appoint the person who can command the confidence of the House of Commons (likely the Leader of the party that are now in the majority) as the next Prime Minister. (A) and (B) are incorrect because it is the person who commands the confidence of the House of Commons, not Parliament as a whole, who becomes Prime Minister. (B) and (D) are incorrect because it is the Monarch who formally appoints the Prime Minister. (E) is incorrect because the previous Prime Minister will need to resign under these circumstances.

Question 15

An environmental charity has secured a court order requiring the Secretary of State for Transport to stop all preparations for the construction of a new railway line until an environmental assessment has been completed. Despite this, the Secretary of State has ordered his officials to continue to make preparations for the new railway line.

Which of the following best explains the legal situation?

Answer 15

(C) The Secretary of State could be found in contempt of court. This is an example of one of the elements of the rule of law, in that, generally, no person is above the law. Here, the Secretary of State is bound by the law just like any other person. This means that he must comply with the terms of the court order against him, not continue with the preparations for the new railway line. As the Secretary of State has not complied with the order, he could be found in contempt of court. (A) is incorrect because, as discussed, government ministers are not above the law. (B) is incorrect because the Prime Minister, not the Monarch, can decide whether a minister should remain in their position. (D) is incorrect because it is not the best answer. Although it is likely that the Secretary of State could be required to answer questions in Parliament, that is a matter of politics, not law. (E) is incorrect because the Prime Minister cannot get involved with the judicial process in this way.

Question 16

During a debate in the House of Commons, an MP argues for a set of constitutional changes so that the UK constitution “better reflects the separation of powers”. As part of the discussion, the MP summarises how the UK constitution currently reflects the separation of powers.

Which one of the following would best describe the MP’s summary?

Answer 16

(A) The UK has a partial separation of powers in light of the overlap between the functioning and personnel of the three branches. The principle of the separation of powers provides that the executive, legislature, and judiciary are separate in terms of their function and their personnel and that, to some extent, the different branches serve as a check and a balance against each other. However, there is a substantial overlap between the executive and legislature. In terms of personnel, all government ministers must be members of the legislature and in function, the executive branch may pass secondary legislation under powers granted to it by the legislature. (B) is incorrect. It cannot be said that there is no separation of powers in the UK. Although the Monarch has a role in the executive, legislature, and judiciary, his role is almost exclusively formal. (C) is incorrect because, given the overlap between the branches, it cannot be said that there is a complete separation of powers. (D) is incorrect because not all power (for example, judicial and executive power) is vested in Parliament. Even some legislative powers are granted to the executive, as discussed above. (E) is incorrect because there is some separation of powers between the executive and judiciary. Although the Privy Council does exercise some executive and judicial functions, these are minimal.

Question 17

A newly qualified solicitor decided to work freelance. The solicitor is not authorised by the Financial Conduct Authority to carry on a ‘regulated activity’ as defined in the Financial Services and Markets Act 2000 (‘FSMA’) and related secondary legislation.

Which of the following would constitute ‘advising’ under FSMA?

ResponsesPress Enter or Space to submit the answer

Answer 17

(D) Under the general prohibition of FSMA, a solicitor may not carry on regulated activity in the UK unless they are authorised or exempt from authorisation. A regulated activity is defined as an activity specified in the Regulated Activities Order relating to an investment specified in the Order, which is carried out in the course of business, and to which no exclusions apply. The specified activities might be remembered with the mnemonic device ‘ADAMS’. Activities = Advising, Dealing as an agent, Arranging, Managing, and Safeguarding. Advising is giving advice to an investor or potential investor on the merits of buying, selling, subscribing for, or underwriting a particular investment. Here, by counselling a client company about the sale of its shares, the solicitor is giving advice on the merits of selling a particular investment (company shares), which constitutes advising. (A) is incorrect because it describes managing, which involves managing assets belonging to another person in circumstances which involve the exercise of discretion (here, the client’s portfolio of shares). (B) is incorrect because it describes arranging, that is, making arrangements for another person to buy, sell, or subscribe for a particular investment (here, selling shares via a stockbroker). (C) is incorrect because it describes safeguarding, that is, administering or safeguarding (looking after) assets belonging to another person. This specified activity usually relates to probate and trust work. Here, the solicitor is acting as a trustee and looking after assets, such as shares and debentures, which belong to the client. (E) is incorrect because it describes the activity of dealing as agent, that is buying, selling, subscribing for, or underwriting investments (here, an insurance policy) as agent for a client

Question 18

A firm of solicitors is not authorised by the Financial Conduct Authority to carry on a ‘regulated activity’ as defined in the Financial Services and Markets Act 2000 (‘FSMA’) and related secondary legislation.

Which of the following activities would the firm be able to conduct in its business if no FSMA exclusion or exemption applies?

Answer 18

(A) Under the general prohibition of FSMA, a firm of solicitors may not carry on regulated activity in the UK unless they are authorised or exempt from authorisation. A regulated activity is defined as an activity specified in the Regulated Activities Order relating to an investment specified in the Order, which is carried out in the course of business, and to which no exclusions apply. The specified activities and investments might be remembered with the mnemonic device ‘ADAMS F.M.DIPS’. Activities = Advising, Dealing as an agent, Arranging, Managing, and Safeguarding. The specified investments most relevant to a solicitor = Funeral plans, Mortgage contracts, Debentures, Insurance contracts, Pension schemes, and Shares in a company. The firm would be able to advise a client on a litigation matter because while advising is a specified activity, litigation matters are not specified investments. (B), (D), and (E) each clearly involve specified activities (arranging, safeguarding, and managing, respectively) and specified investments (pension plans, debentures, and shares in a company). (C) clearly involves a specified investment as well (a mortgage contract) and contracting on behalf of someone is dealing as an agent (a specified activity).QUESTION ID: LGS097

Question 19

A junior solicitor at a large firm became suspicious that a client he was representing might be involved in money laundering. The client’s transaction is scheduled to close in two weeks. The solicitor sent an email to the nominated officer but got an ‘Out of Office’ reply that indicates the nominated officer is not coming back for another three weeks.

What action should the solicitor now take?

Answer 19

(C) The solicitor’s best course of action to take next is to determine whether the firm has appointed a deputy nominated officer and report his suspicions to this person. When the nominated officer is away, best practice is for firms to make alternative arrangements, such as appointing an alternative or a deputy nominated officer and informing staff about these arrangements. The nominated officer and deputy nominated officer should be trained to investigate and properly handle suspicious activity reports. (A) is incorrect as it is the nominated officer’s (or deputy’s) duty to report to the National Crime Agency. The solicitor’s duty is to report to the nominated officer and/or deputy nominated officer as necessary. As explained above, the solicitor should first determine whether the firm has appointed an alternative or deputy nominated officer. If the firm has not, only then must the solicitor report directly to the National Crime Agency. (B) is not correct because the solicitor’s supervisor apparently is not the nominated officer or deputy and so does not necessarily have the training needed to properly handle the matter. (D) and (E) are incorrect because the client’s transaction is due to close before the nominated officer returns, so it would not be reasonable to wait or do nothing. Reports should be made as soon as reasonably practicable

Question 20

A firm of solicitors pays for continuing professional development training for its female employees but requires its male employees to fund the training themselves. The rationale behind this decision is to help female employees progress in the profession after taking time out for childcare.

Under the Equality Act 2010, is the firm’s policy discriminatory?

Answer 20

D) The firm’s policy is directly discriminatory on the grounds of the protected characteristic of sex, because the firm is expressly treating male employees less favourably than female employees. Direct discrimination is treating one person less favourably than another because of a protected characteristic. Generally, there is no justification for direct discrimination. The exceptions are for age and disability discrimination, neither of which are relevant here. (A) is incorrect because, as explained above, this is direct discrimination, not indirect discrimination. (B) is incorrect because direct discrimination based on sex cannot be justified. Also, to justify a discriminatory policy, an employer must show that the action is a proportionate (not legitimate) means of achieving a legitimate aim. (C) is incorrect because sex is a protected characteristic under the Equality Act, along with age, disability, gender re-assignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, and sexual orientation. (E) is incorrect because although the wording of the potential justification in this answer choice is correct, direct discrimination on the grounds of sex cannot be justified

Question 21

A woman is selling a house and her estate agent has suggested she does not need to instruct any legal advisors because the estate agent himself can prepare all the necessary documents, such as the contract for sale of the land. The estate agent is not a member of Solicitors Regulation Authority nor any Legal Services Board regulator.

Which of the following best describes whether the estate agent is correct?

ResponsesPress Enter or Space to submit the answer

Answer 21

(D) The preparation of any instrument relating to real or personal estate, including the contract for sale of land, is a reserved legal activity (specifically, reserved instrument activities) which can be carried out only by someone authorised by a Legal Services Board regulator. (A) is incorrect because the expertise of the person has no bearing on whether they may carry out a reserved legal activity. (B) and (E) are incorrect as they each state the wrong reserved activity-probate and a right of audience. (C) is incorrect as there is a reserved legal activity being carried on.

Question 22

A solicitor is discussing with her client the funding of a personal injury claim resulting from a car accident. The solicitor suggests that the client check their car insurance policy before they make any agreement on funding.

Which of the following best describes why the solicitor has made this suggestion?

Answer 22

(C) The solicitor has suggested that the client check their car insurance policy as the client may have purchased before the event insurance as part of that policy. Many car insurance policies carry before the event insurance – sometimes referred to as legal expenses insurance – as part of the overall package. With before the event insurance, the insurer pays the solicitor’s legal costs, but policies will often require the insured party to use a designated solicitor. A solicitor nevertheless has a duty to do what is best for the client and check into the client’s coverage, even if it means the solicitor cannot take the case. (A) is incorrect because car insurance policies do not usually contain a prohibition on types of claims, although they may specify that a particular solicitor be used to bring the insured party’s claim. (B) is incorrect because an after the event policy is purchased after the accident or event giving rise to a claim has occurred. It is usually taken out in conjunction with a conditional fee agreement to cover the client’s liability for disbursements and the other side’s costs. (D) is incorrect because car insurance policies do not usually contain a requirement as to the type of funding arrangement the parties should make. (E) is incorrect because while it may be a consequence of the client making a claim on the policy, it is not something that the solicitor has to consider when advising the client in relation to funding.

Question 23

A junior solicitor is acting for a new client in the purchase of a nail salon. The client wants to pay cash for the business and for the transaction to be completed as soon as possible. The solicitor thinks that the transaction might be suspicious but has no evidence to prove his suspicions. He is concerned that he may be committing the offence of failure to report under the Proceeds of Crime Act 2002 (‘POCA’) if he does not pass on his suspicions to his firm’s nominated officer. However, the solicitor is equally concerned that he may be wasting the nominated officer’s time as he has no proof.

Which of the following best describes the necessary mental state for the solicitor to commit the offence of failure to report under POCA?

Answer 23

(B) The necessary mental state for the offence of failure to report is that the solicitor should have known or been suspicious that money laundering was taking place. This is an objective test, which means it is possible to commit the offence by failing to report any information which raises reasonable grounds for suspicion. The solicitor does not need actual knowledge or suspicion of money laundering. It is sufficient that they should have known or been suspicious. (A) is incorrect because this answer choice describes a subjective test. As explained above, the test for failure to report is an objective one. (C), (D) and (E) are incorrect because they describe elements of the mental state required to commit the direct offence of concealing, not the offence of failure to report.

Question 24

A newly qualified solicitor decided to work freelance. Business is slow. In an attempt to obtain clients and generate income, the solicitor would like to advertise himself as a financial adviser as well as a solicitor, because he has been making financial investments for himself for the past five years with moderate success. Under what circumstances would the solicitor have to be authorised under the Financial Services and Markets Act 2000 ('FSMA')?

Answer 24

(D) Under the general prohibition stated in FSMA, a person (which includes a solicitor) who carries out a regulated activity must be authorised or exempt from authorisation. A regulated activity is defined as an activity specified in the Regulated Activities Order 2001 relating to an investment specified in the Order, which is carried out in the course of business, and to which no exclusions apply. All of the other choices are too broad: (A) is incorrect because it does not limit giving advice (which is a specified activity) to times when it is in the course of business. (B) is incorrect for a similar reason and because it does not mention the possibility of exemption or exclusions. (C) likewise is not limited to the course of business, or that the investment must be specified. (E) is incorrect because it is not limited to investment advice regarding specified, non-exempt investments.

Question 25

A firm of solicitors institutes a new dress code policy which states that employees should keep jewellery to a minimum. In particular, the dress code states that employees may not wear earrings larger than a small, plain stud. Any breach of the dress code results in disciplinary action. An employee receives a written warning for wearing a large skull-shaped pair of earrings. The employee feels that this is unfair as she explained to her manager that the earrings were a gift from her late mother and held great sentimental value to her. Under the Equality Act 2010, would the employee have a potential claim for discrimination against the firm?

Answer 25

C) The Equality Act covers discrimination in relation to the protected characteristics of marriage/civil partnership, age, sex, disability, gender re-assignment, pregnancy and maternity, race, religion or belief, and sexual orientation. Here, the employee is challenging the jewellery element of the dress code policy because she wore non-permitted earrings for sentimental reasons. However, appearance is not a protected characteristic so the firm's jewellery policy is not discriminatory as applied to this employee. (A), (B), and (E) are incorrect because, as explained above, appearance is not a protected characteristic. (D) is incorrect because the earrings were worn for sentimental reasons. If the earrings had been worn for religious reasons, then there may have been indirect discrimination on the grounds of religion or belief.

Question 26

A solicitor is at a Dads' and Kids' coffee morning with his child. One of the other dads sits next to him and starts discussing investment opportunities. The other dad says interest rates on savings accounts are too low and that he is looking to buy shares in a particular popular technology company instead. He asks the solicitor for his view. The solicitor is not authorised by the Financial Conduct Authority to carry on a "regulated activity" as defined in the Financial Services and Markets Act 2000 ('FSMA') and related secondary legislation. Can the solicitor give his view about investing in the technology company?

Answer 26

(B) The solicitor can give his view about investing in the technology company because the solicitor is at a social event and so would not be advising by way of business. Under the general prohibition of the FSMA, a solicitor cannot carry out a regulated activity unless authorised or exempt from authorisation. A regulated activity is defined as an activity specified in the Regulated Activities Order relating to an investment specified in the Order, which is carried out in the course of business, and to which no exclusions apply. For a solicitor, "in the course of business" generally means the activity is carried out for a client as part of their legal work, rather than one carried out in their personal capacity. Here, the solicitor has been asked to provide advice (a specified activity) on shares in a particular technology company (a specified investment). However, since he is at a social event in his personal capacity and the other dad is not a client, the solicitor would not be carrying on a specified activity in relation to a specified investment in the course of business. Therefore, there is no regulated activity in breach of the general prohibition. (A) is incorrect because, as explained above, even if there is a specified investment and a specified activity, as here, the "in business" element of the regulated activity definition has not been met. (C) is incorrect because, as explained above, the solicitor is not carrying on a regulated activity and therefore does not need to be authorised. (D) is incorrect because the solicitor does not need to rely on an exclusion. He is not carrying on a regulated activity because he is not "in business." (E) is incorrect because the advice the solicitor has been asked to provide relates to a specific company's stock; it is not generic advice about whether or not buying shares in general is a good investmen

Question 27

A firm of solicitors institutes a new dress code policy which states that employees should be clean shaven with short hair. Any breach of the dress code results in disciplinary action. An employee is a practising Sikh, and his religion requires him not to cut his hair. He is given a written warning for having a beard. Under the Equality Act 2010, would the employee have a potential claim for discrimination against the firm?

Answer 27

E) The employee has a potential claim against the firm for indirect discrimination on the grounds of the protected characteristic of religion. Indirect discrimination is when a policy or provision is apparently neutral but on closer examination puts individuals with a protected characteristic at a disadvantage compared with individuals who do not have that characteristic. The firm's dress code policy is apparently neutral. However, the policy puts people with a protected characteristic, here religion, at a disadvantage when compared with people who don't have that characteristic. Employees of the Sikh faith are more likely to be subject to disciplinary action for being in breach of the dress code. They are therefore at a disadvantage compared with people who are not of the Sikh faith. Indirect discrimination can be justified if the policy is a proportionate means of achieving a legitimate aim. (A) is incorrect because, as explained above, the policy is indirectly, not directly, discriminatory. To justify discrimination, a firm must show that its action is a proportionate (not legitimate) means of achieving a legitimate aim. (B) is incorrect because religion is a protected characteristic under the Equality Act, along with age, disability, gender re-assignment, marriage and civil partnership, pregnancy and maternity, race, sex, and sexual orientation. (C) is incorrect because although this is indirect discrimination, such discrimination can be justified if the firm can show its action is a proportionate means of achieving a legitimate aim. (D) is incorrect because this is indirect discrimination, not direct discrimination. Direct discrimination on the basis of religion cannot be justified

Question 28

A claimant in a breach of contract claim approaches a solicitor about whether the solicitor will take the case on. The solicitor presents various funding options to the client, including a conditional fee agreement. The client expresses interest in the conditional fee agreement. Which of the following statements best describes the advice the solicitor should give in relation to funding the case through a conditional fee agreement?

Answer 28

(C) The solicitor may take the case on, but the client should understand that if successful, the solicitor may charge a percentage uplift on her fee. The success fee recoverable from the client under a conditional fee agreement cannot exceed 100% of the normal fees charged. If unsuccessful, the client will not pay any fee to their solicitor, though they will be liable to pay the other side's costs and disbursements and their own disbursements. (A) is incorrect, because although a client utilising a conditional fee agreement will frequently take out after the event insurance to protect against the risk of having to pay their own disbursements and the other side's costs and disbursements if ordered to do so, this is not a legal requirement. (B) is incorrect because the success fee is calculated by reference to the solicitor's standard charging rate not to the amount of damages recovered. (D) is incorrect because if unsuccessful, the client is not required to pay his own solicitor's legal costs, although he will have to pay disbursements. (E) is incorrect, because although in practice most solicitors will take a case on as a conditional fee agreement only if they are satisfied there are good prospects of success and they will therefore get paid, this is not a requirement and not something which must be certified.

Question 29

A statute provides that a person found drunk in charge of a carriage may be arrested without a warrant. A man was arrested without a warrant when he was found drunk in charge of a bicycle. Although under its plain meaning a bicycle is not a carriage, the court trying the case found the man guilty. Which statutory rule of interpretation did the court most likely apply? ResponsesPress Enter or Space to submit the answer

Answer 29

B) A court applying the mischief rule of interpretation determines what mischief the statute in question was set out to remedy and interprets the statute in a way that would best achieve that result. If the court convicted the man, it would be because the court found the statute was intended to keep drunk people off of moving vehicles. (A) is incorrect because the golden rule is used when use of the ordinary meaning of words leads to absurd results. No absurd result would arise if the word 'carriage' were interpreted to exclude a bicycle. (C) is incorrect because under the literal rule, a court applies the dictionary meaning of a word. The dictionary meaning of the word 'carriage' would not include a bicycle. (D) is incorrect because under the purposive approach a court uses extraneous material from the pre-enactment phase of legislation to try to discern the meaning of the words used in the statute. We have no mention of the use of such material in our facts and so this approach cannot be used. (E) is incorrect because there is no such approach - the Latin phrase here means 'second body of law'.

Question 30

Two potential clients come into a solicitors firm for representation. One client requires representation before the Magistrates' Court in short order, whereas the other client requires representation before the High Court some time later. The firm has a solicitor who is available to handle each case, but the concern is that they do not have rights of audience with each court. May the solicitor undertake representation of both parties?

Answer 30

(A) Although the solicitor has an automatic right of audience before the Magistrates' Court, they do not have automatic right of audience before the High Court. As a result, the solicitor may not represent the client before the High Court. (B) is incorrect. A solicitor has an automatic right of audience before the Magistrates' Court, so the solicitor could represent the client before that court. (C) is incorrect. Although it is true that a solicitor does not have an automatic right of audience before the High Court, they do have an automatic right of audience before the Magistrates' Court. (D) is incorrect, as it is only partially correct. Although it is correct to say that the solicitor may represent the client before Magistrates' Court, the answer does not address the solicitor's ability to appear before the High Court. (E) is incorrect as there is no automatic right of audience before the High Court

Question 31

A man was caught stealing a bicycle. He was charged with an either way theft offence. He denied his guilt before a District Judge in Magistrates' Court. Which of the following statements best describes the legal position regarding the trial of the man's case?

Answer 31

(E) An either way offence may be tried in either Magistrates' Court or Crown Court. However, a jury is available only in Crown Court. (A) and (B) are incorrect because a jury is not available in Magistrates' Court. (C) is incorrect, both because the man may choose to have his either way offence tried in Crown Court and because a jury is not available in Magistrates' Court. (D) is incorrect because the man could choose to have his case tried in Magistrates' Court if he forgoes a jury.

Question 32

A claimant has been injured in a road traffic accident and wishes to bring a claim for compensation for their injuries of £20,000. The claimant would like some advice as to which court their case is likely to be heard in. Which is most likely to be the correct court of first instance for their claim?

Answer 32

(A) The County Court deals exclusively with civil cases, and will hear all small claims track cases (valued at under £10,000) and most fast track cases (£10,000 to £25,000). (B) is incorrect as the Crown Court is a purely criminal court, so would not hear a case such as this, which is a tort claim that falls under the civil law. (C) is also incorrect because the Magistrates' Court is primarily a criminal court, with the exception of matters such a family proceedings, but it would not hear a tort claim. (D) is incorrect as the High Court is more likely to hear complex fast track cases that will take up more of the court's time, and will also hear multi-track cases (exceeding £25,000 and complex). (E) is incorrect as the Court of Appeal, as the name suggests, is an appeal court, so would never be the court of first instance for either a civil or criminal case

Question 33

A statute required persons operating places of public refreshment, resort, and entertainment to have a licence to run the establishment. A man owned a cafe and argued he did not need a licence because the cafe was not a place of entertainment. After considering the context of the word entertainment, the court held that it did not mean musical entertainment but rather the reception and accommodation of people, so the defendant was guilty. Which rule of language did the court most likely use to come to this judgement?

Answer 33

(B) This phrase stands for the doctrine that the company interprets a word it keeps. That is, when interpreting a statute, courts consider the words in the same section as the word in dispute - in other words, courts consider the context. (A) is incorrect because under this legal maxim, if one or more things of a class are expressly mentioned in a statute, the things not mentioned are excluded. (C) is incorrect because in pari materia is a rule of language that considers other statutes on the same subject to interpret the statute in question. Since we have no other statute here to help, this rule is not helpful here. (D) is incorrect. Ejusdem generis is not helpful here as it is used to interpret the meaning of a general word when more specific words follow it. Refreshment, resort, and entertainment all seem a bit general and so do not help here. (E) is incorrect because Corpus juris secondum means 'second body of law' and is not a rule of interpretation

Question 34

A County Court Judge is hearing a case in which a claimant is suing for damages arising from drinking a bottled beverage that contained part of a roach. In making their ruling, the judge explained that a similar case was heard years before that interpreted a statute and so they must consider stare decisis . What does stare decisis mean?

Answer 34

(C) Stare decisis means that a decision reached previously by a higher court will be binding on the courts below. In Latin, (A) translates to 'ratio decidendi', (B) translates to 'ejudem generis' (it is used to interpret general words in a law that follow specific words). (D) does not have a commonly used Latin translation phrase associated with it. (E) translates to in pari materiain Latin and is a rule of interpretation under which language in one law is interpreted consistently with another law

Question 35

The government has agreed a new international treaty with Australia. Which of the following best explains the constitutional position regarding how the treaty can be ratified?

Answer 35

(B) Before it can ratify the treaty, the government must lay the treaty before the House of Commons and House of Lords. The power to ratify treaties is a royal prerogative power recognised by the common law. By passing an Act of Parliament, Parliament can either abolish or regulate how a royal prerogative power can be exercised, and Parliament has passed a statute requiring the government to lay a treaty before the House of Commons and the House of Lords, who then have 21 days to vote against the treaty. (A) is incorrect because it does not take into account the statutory requirement of laying the treaty before each House. (C) is incorrect because the requirement to lay the treaty before both Houses comes by statute, not by the royal prerogative. (D) is incorrect because the statute requires laying the treaty before each House for 21 days. (E) is incorrect because there is no such requirement.

Question 36

A constitutional convention is considering the 'uncodified' constitution of the UK. The attendees of the convention begin the convention by setting out the meaning of 'uncodified' in this context. What does it mean for the UK constitution to be 'uncodified'?

Answer 36

(C) The UK constitution is said to be 'uncodified', meaning that it lacks a single document called the constitution. (A) is incorrect. An 'uncodified' constitution is one lacking a single source. In any event, parts of the UK constitution are in writing. (B) is incorrect. While it is true that the UK constitution is not entrenched (that is, it is not the supreme law of the state), this is not a consequence or description of 'uncodified'. (D) is incorrect because it is simply not relevant to defining the term 'uncodified'. (E) is incorrect. This choice also goes to entrenchment and so, as with (B), is not relevant here.

Question 37

The government introduces the Homebuilding Bill into the House of Commons. The provisions of the Bill apply only to England. Which of the following best describes the procedure that will apply to the Bill?

Answer 37

(B) The Bill may be voted on by MPs representing any of the UK constituencies. Despite the fact that the Bill applies only to England, any MP in the UK Parliament can vote on the Bill. (A) is incorrect because there is no such requirement. (C) and (D) are incorrect. Neither the Parliament Acts 1911-1949 (which place limits on the powers of the House of Lords in enacting legislation) nor the Salisbury Convention (which applies when a government bill involves a commitment made by the government's party in their manifesto) applies under these facts. (E) is incorrect because there is no such procedure or practice in the House of Lords.

Question 38

A government minister is concerned about the proposed policy of the Prime Minister to increase health spending. The Minister fears that the policy is likely to require tax rises, which are going to be unpopular. Which of the following options for the Minister is the most constitutionally appropriate?

Answer 38

E) The most constitutionally appropriate option is that the Minister can discuss the matter with other ministers and explain why she disagrees with the proposed policy. However, even if she disagrees with the final decision, she must defend it in public and before Parliament. As a government minister, the Minister is bound by collective responsibility. This means that although ministers can debate government policy in private, once a decision has been made, they must defend that policy in public and before Parliament. If a minister finds themselves unable to agree with government policy, then they must resign from the government. (A), (B), (C), and (D) are incorrect because they show the Minister opposing the policy before the public or Parliament, which are not viable options under collective responsibility.

Question 39

Parliament has enacted the Car Emissions Act 2021, which bans all cars powered by diesel. However, Parliament had previously enacted the Diesel Cars Act 1989, which allows diesel-powered cars onto the roads. The 2021 Act does not state that it repeals the 1989 Act. Which of the following best describes the legal position?

Answer 39

(D) The 1989 Act has been impliedly repealed by the 2021 Act. Under the doctrine of parliamentary sovereignty, Parliament is not allowed to bind its successors. This means that should two Acts of Parliament dealing with the same subject matter conflict, the courts are bound to give effect to the later Act of Parliament, as that is the latest expression of Parliament's intention. This is known as the doctrine of implied repeal. Because the 1989 Act and the 2021 Act pertain to the use of diesel-powered cars and they conflict on that matter, the 2021 Act controls. (A) and (C) are incorrect because the 2021 Act prevails over the 1989 Act under the doctrine of implied repeal. (B) is incorrect because the repeal of an Act of Parliament need not be express. (E) is incorrect because there is no such procedure

Question 40

Four months ago, a council refused a woman's application for a licence to drive a taxi. The council has not given any reasons for rejecting the woman's application. Which of the following best explains why the woman cannot bring judicial review proceedings?

Answer 40

E) The woman cannot bring judicial review proceedings because she has not complied with the time limit. Usually, an application for judicial review needs to be brought promptly, but no later than three months after the action being reviewed occurred. (A) is incorrect because there is an issue of public law here, in that a decision was made by a public body (the local council). (B) is incorrect because it is not the best answer. It is possible that a judicial review could have been brought on the basis of a failure to give reasons, but, as mentioned, the woman failed to bring judicial review proceedings within the time limit. (C) is incorrect because this statement is untrue. If there are grounds to challenge such a decision (such as procedural impropriety), a judicial review claim can be brought. (D) is incorrect. The woman would have standing because she is the person affected by the decision

Question 41

Following the UK's exit from the EU, it emerges that an Act of Parliament enacted in 1997 does not comply with an EU regulation. The regulation came into force in 2014 while the UK was a member state of the EU. Which of the following best explains the status of the Act?

Answer 41

(C) The regulation is part of retained EU law and the Act should be disapplied in favour of the regulation. Under the European Union (Withdrawal) Act 2018, at the end of the transition period, most EU law became part of UK law as a new category of law-retained EU law-which would include the regulation. As the Act was passed before the end of the transition period (that is, December 2020), the principle of supremacy continues to apply. This means that if there is conflict between retained EU law and legislation enacted before the end of the transition period, the retained EU law will prevail. Thus, the courts should disapply the Act in favour of the regulation. (A) is incorrect because the regulation is part of UK law, as retained EU law, and as mentioned, retained EU law prevails over legislation enacted before the end of the transition period. (B) and (D) are incorrect because those choices incorrectly suggest that this issue is a matter of choice. As discussed above, the Act must be disapplied in favour of the regulation. (E) is incorrect because declarations of incompatibility can be made only in relation to the Human Rights Act

Question 42

Prior to Brexit, Members of the Scottish Parliament expressed dissatisfaction with EU law governing agriculture. Thus, in 2021, the Scottish Parliament decides to repeal all retained EU law that relates to agriculture. Agriculture is within the legislative competence of the Scottish Parliament, and the UK government has not passed any regulations barring the Scottish Parliament from amending or repealing retained EU law on this subject. Which of the following best explains the legality of the Scottish Parliament's action?

Answer 42

(C) The devolved legislatures can amend or repeal retained EU law that falls within their legislative competence, unless this has been explicitly prohibited by the UK government. Here, the Scottish Parliament has repealed retained EU law concerning a subject within its legislative competence, agriculture, and it has not been prohibited from doing so by government regulations. Thus, the repeal is valid. (A) is incorrect because, as discussed, the Scottish Parliament can repeal provisions of retained EU law. (B) and (E) are incorrect because there is no need for the Scottish Parliament to seek permission from the UK government or UK Parliament to repeal retained EU law. (D) is incorrect because it is overbroad. The Scottish Parliament may repeal provisions of retained EU law, but, as mentioned, this is subject to restrictions placed by the UK government.

Question 43

The UK Parliament wishes to legislate to change the structure of local government across the UK, including Scotland. However, in Scotland, local government is a devolved matter, to be decided by the Scottish Parliament. The UK government has sought the consent of the Scottish Parliament for the legislation, but the Scottish Parliament has refused to give its consent. Legally, can the UK Parliament proceed with the legislation?

Answer 43

(D) The UK can proceed with legislation because the UK Parliament retains the power to legislate for Scotland. Ultimately, parliamentary sovereignty means that the UK Parliament can make or unmake any law. This means that the power to legislate for Scotland remains unchanged by devolution, even if the Scottish Parliament refuses permission for the UK Parliament to legislate on a matter devolved to the Scottish Parliament. (A) is incorrect because no such procedure exists. (B) is incorrect because the UK Parliament would normally not legislate on a matter that has been devolved to the Scottish Parliament without its consent. However, this is a constitutional convention (the Sewel Convention) and does not reflect the true legal position. (C) is incorrect. The UK Parliament has the power to pass legislation without the devolved institution's consent due to parliamentary sovereignty, not because of a constitutional convention. (E) is incorrect because the courts cannot strike down an Act of Parliament.

Question 44

Four months ago, a council refused a woman's application for a licence to drive a taxi. The council has not given any reasons for rejecting the woman's application. Which of the following best explains why the woman cannot bring judicial review proceedings? ResponsesPress Enter or Space to submit the answer

Answer 44

(E) The woman cannot bring judicial review proceedings because she has not complied with the time limit. Usually, an application for judicial review needs to be brought promptly, but no later than three months after the action being reviewed occurred. (A) is incorrect because there is an issue of public law here, in that a decision was made by a public body (the local council). (B) is incorrect because it is not the best answer. It is possible that a judicial review could have been brought on the basis of a failure to give reasons, but, as mentioned, the woman failed to bring judicial review proceedings within the time limit. (C) is incorrect because this statement is untrue. If there are grounds to challenge such a decision (such as procedural impropriety), a judicial review claim can be brought. (D) is incorrect. The woman would have standing because she is the person affected by the decision

Question 45

Following the UK's exit from the EU, it emerges that an Act of Parliament enacted in 1997 does not comply with an EU regulation. The regulation came into force in 2014 while the UK was a member state of the EU. Which of the following best explains the status of the Act? ResponsesPress Enter or Space to submit the answer

Answer 45

(C) The regulation is part of retained EU law and the Act should be disapplied in favour of the regulation. Under the European Union (Withdrawal) Act 2018, at the end of the transition period, most EU law became part of UK law as a new category of law-retained EU law-which would include the regulation. As the Act was passed before the end of the transition period (that is, December 2020), the principle of supremacy continues to apply. This means that if there is conflict between retained EU law and legislation enacted before the end of the transition period, the retained EU law will prevail. Thus, the courts should disapply the Act in favour of the regulation. (A) is incorrect because the regulation is part of UK law, as retained EU law, and as mentioned, retained EU law prevails over legislation enacted before the end of the transition period. (B) and (D) are incorrect because those choices incorrectly suggest that this issue is a matter of choice. As discussed above, the Act must be disapplied in favour of the regulation. (E) is incorrect because declarations of incompatibility can be made only in relation to the Human Rights Ac

Question 46

Prior to Brexit, Members of the Scottish Parliament expressed dissatisfaction with EU law governing agriculture. Thus, in 2021, the Scottish Parliament decides to repeal all retained EU law that relates to agriculture. Agriculture is within the legislative competence of the Scottish Parliament, and the UK government has not passed any regulations barring the Scottish Parliament from amending or repealing retained EU law on this subject. Which of the following best explains the legality of the Scottish Parliament's action?

Answer 46

C) The devolved legislatures can amend or repeal retained EU law that falls within their legislative competence, unless this has been explicitly prohibited by the UK government. Here, the Scottish Parliament has repealed retained EU law concerning a subject within its legislative competence, agriculture, and it has not been prohibited from doing so by government regulations. Thus, the repeal is valid. (A) is incorrect because, as discussed, the Scottish Parliament can repeal provisions of retained EU law. (B) and (E) are incorrect because there is no need for the Scottish Parliament to seek permission from the UK government or UK Parliament to repeal retained EU law. (D) is incorrect because it is overbroad. The Scottish Parliament may repeal provisions of retained EU law, but, as mentioned, this is subject to restrictions placed by the UK government.

Question 47

The UK Parliament wishes to legislate to change the structure of local government across the UK, including Scotland. However, in Scotland, local government is a devolved matter, to be decided by the Scottish Parliament. The UK government has sought the consent of the Scottish Parliament for the legislation, but the Scottish Parliament has refused to give its consent. Legally, can the UK Parliament proceed with the legislation?

Answer 47

(D) The UK can proceed with legislation because the UK Parliament retains the power to legislate for Scotland. Ultimately, parliamentary sovereignty means that the UK Parliament can make or unmake any law. This means that the power to legislate for Scotland remains unchanged by devolution, even if the Scottish Parliament refuses permission for the UK Parliament to legislate on a matter devolved to the Scottish Parliament. (A) is incorrect because no such procedure exists. (B) is incorrect because the UK Parliament would normally not legislate on a matter that has been devolved to the Scottish Parliament without its consent. However, this is a constitutional convention (the Sewel Convention) and does not reflect the true legal position. (C) is incorrect. The UK Parliament has the power to pass legislation without the devolved institution's consent due to parliamentary sovereignty, not because of a constitutional convention. (E) is incorrect because the courts cannot strike down an Act of Parliament.