Introduction to client care

Question 1

3. Understand professional conduct issues arising in practice

Answer 1

3.1 Explain the major professional conduct aspects of the SRA Standards and Regulations 2019 and the SRA Code of Conduct for Solicitors, RELS, and RFLS 2019.

Question 2

Who regulates Chartered Legal Executives and what must they comply with?

Answer 2

CILEX Regulation regulates Chartered Legal Executives and they must comply with CILEX Code of Conduct.

Question 3

What is a proper standard of service?

Answer 3

Various codes of conduct address this issue including CILEX Code of Conduct and SRA Standards and Regulations.

Question 4

What are the 9 principles of the CILEX Code of Conduct?

Answer 4

1. Rule of law and administration of justice;
2. high standards and public trust in you and profession;
3. honesty and integrity
4. comply with obligations openly, promptly and co-operatively;
5. best interests of client;
6. fairly and without prejudice;
7. independence;
8. proper governance and sound financial and risk management;
9. protect client money and assets.

Question 5

What are the 7 mandatory Solicitors Regulations Authority Principals
(utihieb) and who is covered by these principles?

Answer 5

You act in a way that
1. uphold principals
2. upholds trust and confidence
3. with independence
4. with honesty
5. with integrity
6. encourage diversity, equality and inclusion
7. in the best interests of the client

All those that we regulate.

Question 6

What are the sections in SRA Code of Conduct for Solicitors. There are 11.

Answer 6

1. trust and acting fairly;
2. dispute resolution and proceedings before courts, tribunals and inquiries;
3. Service and competence;
4. client money and assets
5. referrals, introductions and separate businesses;
6. conflict of interests;
7. confidentiality and disclosure;
8. cooperation and accountability;
9. client identification;
10. complaints handling;
11. client information and publicity

Question 7

Summarise “explain the major professional conduct aspects of the SRA Standards and Regulations 2019 and the SRA Code of Conduct for Solicitors, RELs and RFLs 2019.

Answer 7

Good client care is vital for a successful law firm. Chartered Legal Executives and all staff working in firms regulated by CILEX Regulation must comply with the CILEX Code of Conduct which sets out nine core principles which are supported by outcomes. Solicitors and staff working in law firms regulated by the SRA must comply with the SRA Standards and Regulations which are set out in seven Principles.

The SRA Code of Conduct for Solicitors and SRA Code of Conduct for Firms are included in the SRA Standards and Regulations.

Law firms must comply with strict anti-money laundering procedures to fulfil the requirements of the Proceeds of Crime Act 2002 and the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017.