Professional Conduct: Regulatory and Legal Environment

Question 1

What are the seven SRA Principles (2019)?

Answer 1

1. Act in a way that upholds the constitutional principle of the rule of law and the proper administration of justice 2. Act in a way that upholds public trust and confidence in the solicitors’ profession and in legal services provided by authorised persons 3. Act with independence 4. Act with honesty 5. Act with integrity 6. Act in a way that encourages equality, diversity and inclusion 7. Act in the best interests of each client

Question 2

What does Principle 1 require of a legal professional?

Answer 2

Act in a way that upholds the constitutional principle of the rule of law and the proper administration of justice

Question 3

What does Principle 2 require of a legal professional?

Answer 3

Act in a way that upholds public trust and confidence in the solicitors’ profession and in legal services provided by authorised persons

Question 4

Explain the requirement of Principle 3.

Answer 4

Act with independence, meaning you must not allow external pressure, personal interest, or improper influence to affect your professional judgment

Question 5

Explain the requirement of Principle 4.

Answer 5

Act with honesty, meaning you must not lie or mislead clients, the court, or others by your own acts or omissions

Question 6

Explain the requirement of Principle 5.

Answer 6

Act with integrity, meaning you must be scrupulous, careful, and accurate—e.g., you breach integrity if you inadvertently or knowingly allow someone else to be misled

Question 7

What does Principle 6 require?

Answer 7

Act in a way that encourages equality, diversity and inclusion

Question 8

What does Principle 7 require?

Answer 8

Act in the best interests of each client

Question 9

Under CCS 6.3, what is the solicitor’s duty of confidentiality?

Answer 9

You keep the affairs of current and former clients confidential unless disclosure is required or permitted by law or the client consents

Question 10

List three exceptions to the duty of confidentiality (CCS 6.3).

Answer 10

(1) Disclosure required by statute (e.g., HMRC, National Crime Agency); (2) Statutory/regulatory reporting (e.g., anti-money laundering duties); (3) To support a defence in a civil claim or criminal prosecution; additionally, cases involving child abuse where disclosure is necessary to protect the child’s welfare

Question 11

What is the solicitor’s duty of disclosure under CCS 6.4?

Answer 11

Where you are acting for a client on a matter, you make the client aware of all information material to the matter of which you have personal knowledge

Question 12

Give two exceptions to the duty of disclosure (CCS 6.4).

Answer 12

(1) Disclosure prohibited by legal restrictions (national security or prevention of crime); (2) Client gives informed consent in writing not to disclose; (3) Disclosure would cause serious physical or mental harm; (4) Information contained in a privileged document mistakenly disclosed

Question 13

Define ‘material information’ in the context of CCS 6.4.

Answer 13

Information reasonably expected to affect the client’s decision-making in a way significant to their matter as a whole

Question 14

What does CCS 6.5 prohibit regarding adverse interests?

Answer 14

You do not act for a client in a matter where that client has an interest adverse to another current/former client for whom you hold confidential information material to that matter, unless effective measures eliminate real risk of disclosure, or the former client gives written informed consent

Question 15

Give three examples of ‘effective measures’ under CCS 6.5(a).

Answer 15

(1) Separate departments handling cases; (2) Encrypted/password-protected files; (3) Separate servers/printers so confidential data cannot be cross-accessed; (4) Firm-wide policies and staff training to prevent inadvertent disclosure

Question 16

In the Mr and Mrs Smith example, why cannot the solicitor act for Mrs Smith?

Answer 16

Because the solicitor personally knows Mr Smith’s conviction (confidential), cannot implement effective barriers (information is in their head), and Mr Smith is unlikely to consent to disclosure

Question 17

What does CCS 1.1 require regarding discrimination?

Answer 17

You do not unfairly discriminate by allowing your personal views to affect professional relationships or the provision of services

Question 18

What does CCS 1.2 prohibit?

Answer 18

You do not abuse your position by taking unfair advantage of clients or others

Question 19

What does CCS 1.3 require concerning undertakings?

Answer 19

You perform all undertakings given by you, within an agreed timescale or, if none is agreed, within a reasonable time

Question 20

What does CCS 1.4 prohibit?

Answer 20

You do not mislead or attempt to mislead clients, the court, or others by your own acts or omissions, or by allowing others (including the client) to do so

Question 21

Under CCS 2.1, what must a solicitor not do?

Answer 21

You do not misuse or tamper with evidence or attempt to do so

Question 22

Under CCS 2.2, what must a solicitor not do?

Answer 22

You do not seek to influence the substance of evidence, generate false evidence, or persuade witnesses to change their evidence

Question 23

What does CCS 2.4 require when making submissions to the court?

Answer 23

You only make assertions, statements, representations, or submissions that are properly arguable

Question 24

What does CCS 3.2 require regarding client service?

Answer 24

You ensure the service you provide to clients is competent and delivered in a timely manner

Question 25

What does CCS 3.3 require of legal professionals?

Answer 25

You maintain your competence to carry out your role and keep professional knowledge and skills up to date

Question 26

What does CCS 3.4 require when advising clients?

Answer 26

You consider and take account of your client’s attributes, needs, and circumstances when providing legal advice

Question 27

What are the duties of a manager under CCS 3.5 and 3.6?

Answer 27

CCS 3.5: You remain accountable for work done through those you supervise and effectively supervise their work. CCS 3.6: You ensure those you manage are competent and keep knowledge/skills and understanding of legal, ethical, and regulatory obligations up to date

Question 28

What does CCS 4.2 require regarding client funds?

Answer 28

You safeguard any money and assets entrusted to you by clients and others

Question 29

How does CCS 1.3 define an undertaking?

Answer 29

A statement (oral or written) to someone who reasonably relies on it, that you or a third party will do something or cause something to be done

Question 30

Under the Equality Act 2010, list five protected characteristics.

Answer 30

Age; Disability; Gender reassignment; Marriage and civil partnership; Pregnancy and maternity; Race; Religion or belief; Sex; Sexual orientation

Question 31

Define 'equality' vs 'diversity' vs 'inclusion' (SRA guidance).

Answer 31

Equality: ensuring a level playing field and fair treatment; Diversity: encouraging and valuing a broad range of backgrounds, skills, and experiences; Inclusion: accepting people for who they are and encouraging full participation

Question 32

What does Principle 6 of the SRA Principles require?

Answer 32

You must act in a way that encourages equality, diversity and inclusion

Question 33

What do CCS 1.1, 1.2, and 3.4 collectively require for EDI?

Answer 33

CCS 1.1: Do not unfairly discriminate; CCS 1.2: Do not abuse your position to take unfair advantage; CCS 3.4: Consider and take into account client attributes, needs, and circumstances

Question 34

State two firm-level EDI duties (SRA guidance).

Answer 34

Firms must have a complaints procedure that deals promptly and fairly with discrimination/harassment/victimisation; Firms should produce and implement an EDI policy, monitor diversity data, and attract/retain talented staff through fair recruitment and progression processes

Question 35

What does CCS 8.8 require about publicity?

Answer 35

You ensure any publicity relating to your practice is accurate and not misleading, including charges and circumstances in which interest is payable

Question 36

What does CCS 8.9 prohibit?

Answer 36

You do not make unsolicited approaches to members of the public (except current/former clients) to advertise legal services

Question 37

Name two Transparency Rules categories a firm must publish (Rule 1 and 4).

Answer 37

Rule 1 (Costs information): total cost, basis of charges (hourly rates/fixed fees), experience of fee earner, likely disbursements, VAT details, services included and timescales; Rule 4 (Regulatory information): SRA number, digital badge on website, SRA authorisation statement on letterhead and emails

Question 38

What must a client introduced by a third party be informed of under CCS 5.1?

Answer 38

(a) Any financial or other interest which the introducer has in referring the client; (b) Any fee sharing arrangement relevant to their matter

Question 39

Under CCS 5.1, what is prohibited regarding referral fees for criminal-proceedings clients?

Answer 39

You are not permitted to pay an introducer a fee for referring clients who are subject of criminal proceedings or whose costs are publicly funded

Question 40

What additional upfront step is required for any introducer arrangement (CCS 5.1)?

Answer 40

Arrangements with introducers must be in writing

Question 41

List two points of good practice when managing introductions/referrals.

Answer 41

(1) Make a statement to the client (preferably in writing) that your advice is independent; (2) Confirm to the client that any information disclosed will remain confidential (especially from the introducer/fee sharer); (3) If acting for both introducer and client, monitor conflicts and cease acting if necessary

Question 42

Briefly explain Section 56(1) LASPO’s relevance to referrals.

Answer 42

Prohibits solicitors from referring or receiving referrals for personal injury/death claims to each other in consideration for a referral fee (including through intermediaries) unless the payment is genuinely for services provided

Question 43

What anti-bribery due diligence must a law firm perform under BA 2010?

Answer 43

Ensure business contacts have an anti-bribery policy and comply with it; Confirm information gathered (e.g., by enquiry agents) isn’t obtained via bribes; Set clear limits on corporate hospitality/gifts to avoid improper influence

Question 44

Name four bodies regulating legal professionals in England & Wales.

Answer 44

Legal Services Board; Solicitors Regulation Authority (SRA); Bar Standards Board (BSB); Chartered Institute of Legal Executives (CILEx); Council for Licensed Conveyancers (CLC); Costs Lawyers Standards Board

Question 45

If a client complains about poor service/fees after exhausting a firm’s complaints process, where can they go next?

Answer 45

Legal Ombudsman (LO), which can require apologies, compensation, error correction, specific remedial action, or fee limitation but cannot discipline or fine a lawyer

Question 46

What powers does the SRA have when investigating misconduct?

Answer 46

Issue warnings; impose disciplinary sanctions/fines; reprimand for professional misconduct; order repayment/refund of fees; impose practice restrictions; bring proceedings before the Solicitors Disciplinary Tribunal; revoke firm recognition; close a firm

Question 47

What powers does the Solicitors Disciplinary Tribunal (SDT) hold?

Answer 47

Strike a solicitor off the roll; suspend from practice; reprimand; impose fines; award costs; make restriction orders on practice areas; cannot award compensation