Bar Training Course (BTC) Professional Ethics and the Regulation of Barristers Syllabus

Professional Ethics and the Regulation of Barristers 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 the Regulation of Barristers in Bar Training Course (BTC), not a summary of it.

1. 1

   The Regulatory Framework

   4 topics

   • The Bar Standards Board and its regulatory objectives
   • The structure of the BSB Handbook
     • The Core Duties
     • Outcomes, rules and guidance
   • The Legal Services Act 2007 and the regulatory landscape
   • Independence of the Bar and the role of self-employed and employed barristers
2. 2

   The Core Duties and Conduct Rules

   6 topics

   • Duty to the court in the administration of justice (CD1)
     • Not misleading the court and disclosure of adverse authority
   • Acting in the best interests of each client (CD2)
   • Honesty, integrity and independence (CD3, CD4)
   • Maintaining public trust and confidence (CD5)
   • Confidentiality (CD6) and competence (CD7)
   • Equality, diversity and non-discrimination (CD8)
3. 3

   Practising Rules and Professional Obligations

   5 topics

   • The Cab Rank Rule and accepting instructions
     • Scope, exceptions and refusal of instructions
   • Conflicts of interest
   • Confidentiality and disclosure dilemmas
   • Money handling, fees and the prohibition on holding client money
   • Referral fees and improper arrangements
4. 4

   Ethical Dilemmas and Enforcement

   5 topics

   • Client confessions of guilt and continuing to act
   • Withdrawal from a case and returning instructions
   • Duties when the client wishes to mislead the court
   • Reporting serious misconduct and the duty to self-report
   • Disciplinary process and sanctions

Professional Ethics and the Regulation of Barristers flashcards for Bar Training Course (BTC)

20 of 50 cards from the Professional Ethics and the Regulation of Barristers deck — real questions with worked answers.

1. Which body is the independent regulator of barristers in England and Wales?

   The Bar Standards Board (BSB). It regulates barristers and specialised legal services businesses in the public interest, operating independently of the General Council of the Bar (the Bar Council), which is the representative body.

2. List the BSB's eight statutory regulatory objectives (derived from the Legal Services Act 2007).

   (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 the provision of 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.

3. What are the five 'professional principles' that regulators must maintain under the Legal Services Act 2007?

   (1) Acting with independence and integrity; (2) Maintaining proper standards of work; (3) Acting in the best interests of clients; (4) Complying with the duty to the court to act with independence in the interests of justice; (5) Keeping the affairs of clients confidential.

4. What is the role of the Legal Services Board (LSB) created by the Legal Services Act 2007?

   The LSB is the oversight regulator. It supervises the approved (frontline) regulators such as the BSB and SRA, ensuring they act consistently with the regulatory objectives and the public interest. It does not regulate individual barristers directly.

5. Name the parts (sections) into which the BSB Handbook is structured.

   Part 1: Introduction/Application; Part 2: The Code of Conduct (Core Duties, Conduct Rules, Outcomes, Guidance); Part 3: Scope of Practice, Authorisation and Licensing Rules; Part 4: Qualification Rules; Part 5: Enforcement Regulations; Part 6: Definitions. (The Code of Conduct in Part 2 is the central component.)

6. Within the BSB Code of Conduct, what is the hierarchy of components and how do they relate?

   Core Duties (CDs) sit at the top and underpin everything; Outcomes describe the regulatory aims; the rules (rC...) are mandatory and supplement the Core Duties; and Guidance (gC...) assists interpretation but is not itself mandatory. Breach of a Core Duty or a rule constitutes professional misconduct.

7. State the wording of Core Duty 1 (CD1).

   CD1: You must observe your duty to the court in the administration of justice. This is the barrister's overriding duty.

8. State the wording of Core Duty 2 (CD2).

   CD2: You must act in the best interests of each client.

9. State the wording of Core Duties 3 and 4 (CD3 and CD4).

   CD3: You must act with honesty and integrity. CD4: You must maintain your independence.

10. State the wording of Core Duty 5 (CD5).

    CD5: You must not behave in a way which is likely to diminish the trust and confidence which the public places in you or in the profession.

11. State the wording of Core Duties 6 and 7 (CD6 and CD7).

    CD6: You must keep the affairs of each client confidential. CD7: You must provide a competent standard of work and service to each client.

12. State the wording of Core Duties 8, 9 and 10 (CD8, CD9, CD10).

    CD8: You must not discriminate unlawfully against any person. CD9: You must be open and co-operative with your regulators. CD10: You must take reasonable steps to manage your practice, or carry out your role within your practice, competently and in such a way as to achieve compliance with your legal and regulatory obligations.

13. When a barrister's duty to the court (CD1) conflicts with the duty to act in the client's best interests (CD2), which prevails?

    CD1 prevails. The Handbook expressly provides that the duty to the court in the administration of justice overrides any other core duty if and to the extent the two are inconsistent. The duty to the court is paramount.

14. Give three examples of how the duty to the court (CD1) restricts a barrister's conduct.

    (1) A barrister must not knowingly or recklessly mislead the court (e.g. by making false submissions or putting forward false evidence); (2) must not abuse their role as advocate; (3) must ensure the court is informed of relevant decisions/legislative provisions and the conduct of the case, even if adverse to the client (the duty of candour on points of law).

15. What duty of disclosure on the law does a barrister owe the court, and how does it interact with the client's interests?

    A barrister must draw the court's attention to relevant authorities, statutory provisions and procedural irregularities even if adverse to their own client's case. This duty of candour on the law (not on the facts) overrides the duty to the client. There is no equivalent duty to disclose facts adverse to the client in adversarial proceedings.

16. What does the 'independence of the Bar' mean and why is it important (CD4)?

    It means barristers must remain free from external pressures and personal interests that could compromise their professional judgement, so they can advise clients fearlessly and fulfil their duty to the court. Independence safeguards the rule of law and access to justice. A barrister must not allow loyalty to a client, a third party (e.g. an insurer or instructing solicitor), or self-interest to undermine independent judgement.

17. Compare a self-employed barrister and an employed barrister in terms of who they may supply legal services to.

    A self-employed barrister (typically in chambers) generally supplies services to the public, other professional clients and via the cab rank rule. An employed barrister (e.g. in-house, CPS, government) primarily supplies legal services to their employer and, in limited circumstances, to fellow employees, but generally cannot offer services to the public at large. The cab rank rule does not apply to employed barristers.

18. Does the cab rank rule apply to employed barristers? Explain.

    No. The cab rank rule applies to self-employed barristers (and BSB-authorised bodies) accepting instructions from professional clients. Employed barristers act for their employer and are not offering services to the open market, so the rule does not apply to them.

19. State the cab rank rule and the three conditions for it to apply.

    A self-employed barrister must accept instructions in their area of practice, irrespective of the identity of the client, the nature of the case, or any belief/opinion about the client's character, conduct or guilt, provided: (1) the instructions come from a professional client (or other authorised route as permitted); (2) the case is in the barrister's field of practice; and (3) appropriate fees are offered (the work is at a proper professional fee for an experience/seniority commensurate with the nature of the case).

20. Give four legitimate grounds on which a barrister MAY refuse instructions despite the cab rank rule.

    Among others: (1) there is a conflict of interest, or a real risk of one; (2) the barrister lacks sufficient experience or competence to handle the matter; (3) the barrister does not have enough time/availability without compromising the quality of work; (4) accepting would require the barrister to break the law or breach a Core Duty; (5) the professional client is not accepting personal liability for fees / is a defaulting payer; (6) instructions from a lay client direct that fall outside Public Access rules.

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