Bar Professional Training Course (BPTC) Professional Ethics and Conduct Syllabus

Professional Ethics and Conduct syllabus — full chapter and topic list

Expand any chapter to see its topics and sub-topics. This is the whole examinable outline for Professional Ethics and Conduct in Bar Professional Training Course (BPTC), not a summary of it.

1. 1

   The Regulatory Framework

   3 topics

   • The BSB Handbook and Core Duties
     • The ten Core Duties and their hierarchy
     • Outcomes-focused regulation
   • The Code of Conduct structure
     • Rules, guidance and outcomes
   • Regulation and enforcement
     • Reporting serious misconduct and disciplinary processes
2. 2

   Duties to the Court and Administration of Justice

   3 topics

   • The overriding duty to the court
     • Not misleading the court and correcting errors
   • Independence and integrity
   • Handling witnesses and evidence ethically
3. 3

   Duties to the Client

   3 topics

   • Acting in the client's best interests
   • Confidentiality and conflicts of interest
     • Own-client and client-against-client conflicts
   • The cab-rank rule
     • Scope, exceptions and the duty not to discriminate
4. 4

   Practice Management and Equality

   3 topics

   • Accepting and returning instructions
   • Equality, diversity and non-discrimination
   • Money laundering and proceeds of crime obligations

Professional Ethics and Conduct flashcards for Bar Professional Training Course (BPTC)

22 of 49 cards from the Professional Ethics and Conduct deck — real questions with worked answers.

1. What is the BSB Handbook and who issues it?

   The BSB Handbook is the regulatory rulebook issued by the Bar Standards Board (BSB) governing barristers in England and Wales. It contains the Code of Conduct, the Core Duties, the outcomes, rules and guidance that barristers and BSB-regulated entities must follow.

2. How many Core Duties are there in the BSB Handbook, and what is their status?

   There are 10 Core Duties (CD1–CD10). They are the overarching mandatory principles that underpin the entire Code of Conduct; all other rules and guidance must be read in light of them, and a breach of a Core Duty is itself a disciplinary matter.

3. List the 10 Core Duties (CD1–CD10) of the BSB Handbook.

   CD1: duty to the court in the administration of justice; CD2: act in the best interests of each client; CD3: act with honesty and integrity; CD4: maintain independence; CD5: not behave in a way likely to diminish public trust and confidence in the profession; CD6: keep client affairs confidential; CD7: provide a competent standard of work and service; CD8: not discriminate unlawfully; CD9: be open and co-operative with regulators; CD10: take reasonable steps to manage your practice competently.

4. Which Core Duty takes precedence when duties conflict, and what is the general rule of precedence?

   CD1 (duty to the court) takes precedence. Under rC3/the Handbook, your duty to the court overrides any inconsistent obligations (including the duty to the client in CD2), save that it does not require you to breach your duty of confidentiality to the client (CD6).

5. What are the five components into which the BSB Handbook Code of Conduct is structured?

   (1) Core Duties (CD1–CD10); (2) Outcomes (the aims the rules are designed to achieve); (3) Rules (mandatory 'rC' provisions); (4) Guidance (gC provisions explaining/illustrating the rules); and (5) Definitions. Outcomes and Guidance are not themselves binding rules but inform interpretation.

6. In the Handbook's rule references, what do the prefixes 'CD', 'oC', 'rC' and 'gC' denote?

   CD = Core Duty; oC = Outcome; rC = Rule (mandatory and enforceable); gC = Guidance (explanatory, not directly enforceable but used to interpret the rules).

7. What is the difference between 'Outcomes' and 'Rules' in the Code of Conduct?

   Outcomes (oC) describe the objectives the regulatory scheme aims to deliver and are not directly enforceable; Rules (rC) are the specific mandatory obligations whose breach can lead to disciplinary action. Outcomes guide interpretation of the Rules.

8. Name the principal regulators in the structure of barrister regulation in England and Wales.

   The Bar Standards Board (BSB) is the frontline regulator; it operates under the oversight of the Legal Services Board (LSB), the super-regulator created by the Legal Services Act 2007. The General Council of the Bar (Bar Council) is the representative body, with regulation delegated to the BSB.

9. What are the eight 'regulatory objectives' of the Legal Services Act 2007 that frontline regulators like the BSB must promote?

   (1) Protecting and promoting the public interest; (2) supporting the constitutional principle of the rule of law; (3) improving access to justice; (4) protecting and promoting the interests of consumers; (5) promoting competition in legal services; (6) encouraging an independent, strong, diverse and effective legal profession; (7) increasing public understanding of citizens' legal rights and duties; (8) promoting and maintaining adherence to the professional principles.

10. Outline the BSB's enforcement process for alleged breaches of the Handbook.

    Concerns/reports are assessed by the BSB; matters may be resolved through supervision or, for more serious cases, referred to the Independent Decision-making Body / Professional Conduct Committee. Serious charges are prosecuted before a Disciplinary Tribunal convened by the Bar Tribunals and Adjudication Service (BTAS). Sanctions range up to disbarment.

11. What body conducts disciplinary tribunals for barristers, and what sanctions can be imposed?

    The Bar Tribunals and Adjudication Service (BTAS) convenes Disciplinary Tribunals. Sanctions include: advice/reprimand, fines, conditions on practice, suspension, and the most serious — disbarment (being struck off / disbarred).

12. What is the barrister's 'overriding duty to the court' and from where does it derive?

    It is the duty in CD1 (and rC3) to act with independence in the interests of justice and to assist the court in the administration of justice. It overrides the barrister's obligations to the client where they conflict, reflecting the barrister's role as an officer of the court.

13. State at least four specific obligations imposed by rC3 (duty to the court).

    You must not: (1) knowingly or recklessly mislead or attempt to mislead the court; (2) abuse your role as an advocate; (3) take unfair advantage of an opposing party; (4) draft documents containing assertions of fact you don't believe are properly arguable or allegations of fraud without clear instructions/material; and you must (5) ensure your ability to act independently is not compromised.

14. Can a barrister disclose a client's confidential information to comply with the duty to the court?

    No. The duty to the court does not require, and does not permit, a barrister to breach the duty of confidentiality owed to the client (CD6). The barrister cannot mislead the court, but the resolution where confidence prevents disclosure is generally to withdraw rather than to reveal the confidence.

15. A client tells their barrister in confidence that they are guilty but instructs a not-guilty plea. What may and may not the barrister do?

    The barrister may still defend by putting the prosecution to proof (testing the evidence) but must NOT positively assert the client's innocence, call evidence the barrister knows to be false, or set up an affirmative case inconsistent with the confession (e.g. an alibi). Doing so would mislead the court (breach of CD1/rC3).

16. What must a barrister do if they discover during proceedings that they have inadvertently misled the court?

    They must, with the client's consent, correct the position by informing the court. If the client refuses consent to correct a material misleading of the court, the barrister can no longer continue to act and must withdraw, because they cannot continue to mislead the court (CD1 prevails).

17. What does Core Duty 4 (independence) require, and why is it important to the barrister's role?

    CD4 requires the barrister to maintain their independence — not allowing their professional judgment to be compromised by the client, the court, a third party, their own interests, or fear of consequences. Independence underpins the ability to give frank advice and to fulfil the duty to the court.

18. What does Core Duty 3 (honesty and integrity) prohibit, including conduct outside professional practice?

    CD3 requires acting with honesty and integrity at all times. It extends to conduct in a personal capacity that could diminish public trust (e.g. dishonesty in private dealings). Integrity is a wider concept than honesty and includes adherence to ethical and professional standards expected of a barrister.

19. Distinguish 'honesty' from 'integrity' as used in the BSB regulatory context.

    Honesty concerns not being dishonest (not lying, deceiving or misappropriating). Integrity is broader — it embraces adherence to the ethical standards of the profession, including being scrupulous, frank, and not taking unfair advantage; a person can lack integrity without being dishonest (per case law such as Wingate/Malins v SRA).

20. What is the ethical rule on coaching or 'rehearsing' a witness's evidence?

    A barrister must not rehearse, practise with, or coach a witness in relation to their evidence. Familiarisation with the process is permitted, but coaching the content of evidence is prohibited because it risks the evidence no longer being the witness's own and may mislead the court.

21. May a barrister discuss the case or evidence with a witness while that witness is giving evidence (mid-testimony)?

    No. Once a witness has begun giving evidence, the barrister must not communicate with that witness about the case or their evidence (including during breaks/adjournments) until the witness has finished testifying, to avoid influencing the evidence.

22. What must a barrister do if a client admits to having given false evidence or produced a forged/false document?

    The barrister must not knowingly rely on it. They should advise the client to correct the position; if the client refuses to allow correction of a matter that misleads the court, the barrister cannot continue to act on that basis and must withdraw, while preserving confidentiality.

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