Private Retainer Flashcards
(12 cards)
What is a “private retainer”?
A. A contract for legal services paid privately by the client
B. Funding by public legal aid
C. A referral to the Legal Ombudsman
D. A pro bono arrangement
A. A contract for legal services paid privately by the client
Explanation: A private retainer is an agreement between solicitor and client for services in exchange for fees, with no public funding
Which element must always be included in a client care letter for a private retainer?
A. VAT registration number
B. Basis of fees and likely total costs or estimate
C. Firm’s marketing plan
D. Personal phone numbers of all staff
B. Basis of fees and likely total costs or estimate
Explanation: The letter must explain how fees are calculated and provide an estimate where possible
Under the SRA Code, what duty ensures a solicitor has sufficient legal skill?
A. Confidentiality
B. Competence (CCS 2.1)
C. Integrity
D. Equality & diversity
C. Competence (CCS 2.1)
Explanation: CCS 2.1 requires solicitors to have and apply the necessary legal knowledge, skill and experience
Which Principle underpins the duty to act in the client’s best interests in a private retainer?
A. Principle 4 – Honesty
B. Principle 1 – Rule of law
C. Principle 6 – EDI
D. Principle 7 – Best interests of each client
D. Principle 7 – Best interests of each client
Explanation: Principle 7 mandates acting in the client’s best interests at all times
A client wants to end the retainer mid-way. What can the solicitor charge for?
A. Nothing, the retainer is terminated automatically
B. Reasonable fees for work done up to termination
C. Full original estimate regardless of work done
D. Disbursements only
A. Reasonable fees for work done up to termination
Explanation: On client termination, the solicitor may charge for the work already performed, subject to fairness and proportionality
A client refuses to pay the fee on account. The solicitor may:
A. Ignore the refusal and proceed
B. Withdraw with reasonable notice
C. Immediately refer to the Legal Ombudsman
D. Double the hourly rate
B. Withdraw with reasonable notice
Explanation: Failure to pay fees on account is a valid ground for withdrawal, with reasonable notice and without prejudicing the client
Before agreeing a retainer, the firm discovers a conflict. The correct action is to:
A. Proceed and deal with any issues later
B. Decline or seek client consent and implement safeguards
C. Refer the matter to the Legal Ombudsman
D. Charge an additional conflict fee
C. Decline or seek client consent and implement safeguards
Explanation: If a conflict exists, the firm must either not proceed or obtain informed consent with appropriate safeguards
A client care letter does NOT need to include:
A. Identification of the lawyer responsible
B. Scope of services
C. Complaints procedure
D. Competitor pricing for similar work
D. Competitor pricing for similar work
Explanation: Competitor pricing is not required; the letter must cover firm identity, scope, fees, reporting and complaints
Under confidentiality, a solicitor may disclose client info when:
A. The client asks for it
B. Required by law or with client consent
C. It suits the firm’s marketing
D. To any third party
A. Required by law or with client consent
Explanation: Confidentiality (Principle 4) only permits disclosure with consent or when legally compelled
If a solicitor withdraws because of unethical instructions, they must:
A. Give no notice and pack up immediately
B. Provide reasonable notice and return papers to avoid prejudice
C. Inform the client’s opponent
D. Charge a refusal fee equal to full estimate
B. Provide reasonable notice and return papers to avoid prejudice
Explanation: Withdrawal requires reasonable notice and steps to protect the client’s interests, like returning papers
What must a firm do if it employs non-lawyer staff under a private retainer?
A. Ensure they receive EDI training only
B. Ensure they are supervised by a solicitor with ≥3 years’ PQE
C. Grant them full independence
D. Exclude them from conflicts checks
C. Ensure they are supervised by a solicitor with ≥3 years’ PQE
Explanation: Supervision by a qualified solicitor is required to maintain competence and service standards
Which ground is NOT valid for a solicitor’s withdrawal from a retainer?
A. Conflict of interest
B. Client’s refusal to pay fees on account
C. Client asks for an illegal action
D. Client disagrees with billing estimate
D. Client disagrees with billing estimate
Explanation: Disagreement alone is not a valid ground; withdrawal must be based on conflict, non-payment, illegality, etc
