Period of Recognised Training / Training Contract Professional Conduct and Ethics Syllabus

Professional Conduct and Ethics syllabus — full chapter and topic list

Expand any chapter to see its topics and sub-topics. This is the whole examinable outline for Professional Conduct and Ethics in Period of Recognised Training / Training Contract, not a summary of it.

1. 1

   SRA Standards and Regulations

   4 topics

   • SRA Principles
     • Acting with integrity and honesty
     • Upholding the rule of law and proper administration of justice
     • Acting in the best interests of each client
   • SRA Code of Conduct for Solicitors, RELs and RFLs
   • SRA Code of Conduct for Firms
   • Resolving conflicts between the Principles
2. 2

   Duties to Clients

   4 topics

   • Client confidentiality and disclosure
     • The duty of confidentiality and its exceptions
     • Conflict between confidentiality and disclosure duties
   • Conflicts of interest
     • Own interest conflicts
     • Conflicts between two or more clients
   • Client care and service standards
   • Complaints handling and the Legal Ombudsman
3. 3

   Duties to the Court and Third Parties

   4 topics

   • Not misleading the court
   • Duties when dealing with other parties and their representatives
   • Undertakings and their enforceability
   • Witnesses and the conduct of litigation
4. 4

   Regulatory Breaches and Enforcement

   4 topics

   • Reporting obligations to the SRA
     • Self-reporting serious misconduct
     • Reporting concerns about others
   • The Solicitors Disciplinary Tribunal
   • Sanctions and findings of misconduct
   • Whistleblowing and the trainee's position

Professional Conduct and Ethics flashcards for Period of Recognised Training / Training Contract

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

1. What are the seven SRA Principles that solicitors must uphold?

   They must act: (1) in a way that upholds the constitutional principle of the rule of law and the proper administration of justice; (2) in a way that upholds public trust and confidence in the solicitors' profession; (3) with independence; (4) with honesty; (5) with integrity; (6) in a way that encourages equality, diversity and inclusion; and (7) in the best interests of each client.

2. When two or more SRA Principles come into conflict, how must a solicitor resolve the conflict?

   The Principle that takes precedence is the one that best serves the public interest, especially the public interest in the proper administration of justice. The wider public interest prevails over an individual client's interests.

3. What is the difference between 'honesty' and 'integrity' as SRA Principles?

   Honesty (Principle 4) is judged objectively by the standards of ordinary decent people and concerns not lying, deceiving or misappropriating. Integrity (Principle 5) is a broader concept of adherence to the ethical and professional standards expected of a solicitor; a solicitor can lack integrity without being dishonest (e.g. recklessly making misleading statements).

4. Who is bound by the SRA Code of Conduct for Solicitors, RELs and RFLs?

   It applies to individual solicitors, Registered European Lawyers (RELs) and Registered Foreign Lawyers (RFLs). It sets the standards of professional conduct expected of these individuals whether they practise as authorised persons, employees or managers.

5. Who does the SRA Code of Conduct for Firms apply to, and what does it require?

   It applies to authorised firms, their managers and their employees. It requires the firm to have effective systems and controls (compliance, supervision, complaints handling) to ensure compliance with the regulatory arrangements, and managers are jointly and severally responsible for compliance by the firm.

6. Define a solicitor's duty of confidentiality and state how long it lasts.

   A solicitor must keep the affairs of current and former clients confidential unless disclosure is required or permitted by law or the client consents. The duty is unqualified, continues after the retainer ends, and survives the death of the client (passing to personal representatives).

7. State the general duty of disclosure to a client and how it interacts with confidentiality.

   A solicitor must make the client aware of all information material to their matter of which the solicitor has knowledge. However, the duty of confidentiality to one client always overrides the duty of disclosure to another; you cannot disclose Client A's confidential information to Client B even if it is material to B's matter.

8. What is an 'own interest conflict' under the SRA Code, and what is the rule about acting?

   An own interest conflict exists where the solicitor's (or firm's) own interests conflict, or there is a significant risk they may conflict, with the duty owed to a current client. You must not act where there is an own interest conflict or a significant risk of one — there are no exceptions.

9. What is a 'conflict of interest' (client conflict) and the general prohibition on acting?

   A client conflict arises where you owe separate duties to act in the best interests of two or more current clients in relation to the same or a related matter, and those duties conflict, or there is a significant risk they may conflict. The general rule is that you must not act.

10. What are the two exceptions that allow a solicitor to act despite a client conflict of interest?

    You may act where: (1) the clients have a substantially common interest in relation to the matter; or (2) the clients are competing for the same objective. In both cases you must have the informed written consent of all clients, be satisfied it is reasonable to act, and put in place effective safeguards (e.g. information barriers).

11. Distinguish a 'substantially common interest' from 'competing for the same objective'.

    Substantially common interest: a clear common purpose between the clients and a strong consensus on how it is to be achieved. Competing for the same objective: two or more clients are competing for an 'objective' which, if attained by one, makes it unattainable to the others (e.g. bidders for a single asset or contract).

12. What are the requirements for a confidentiality information barrier ('Chinese wall') to justify acting for conflicting clients?

    You may act where one client (or former client) has confidential information and another wants you to act against their interests only if: effective safeguards/information barriers protect the confidential information; and either the affected client gives informed consent, acknowledging the barriers, or current and historic arrangements satisfy the SRA that the client's interests are protected and it is reasonable to act.

13. List the key client care information a solicitor must provide at the outset of a retainer.

    The client must be given, in a way they can understand: the best possible information on the overall cost of the matter (or basis of charging) and how it may change; information about regulation and complaints (including the right to complain, how, and the right to the Legal Ombudsman); and confirmation of who is dealing with the matter. Service must be competent and delivered in a timely manner.

14. What is the requirement on a firm's complaints procedure under the SRA Codes?

    Firms must have an effective complaints handling procedure, deal with complaints promptly, fairly and free of charge, and ensure clients are informed in writing at the time of engagement (or existing clients when a complaint arises) of their right to complain, how, to whom, and of their right to make a complaint to the Legal Ombudsman, the time frame, and full details of how to contact it.

15. What time limits apply to a client referring a complaint to the Legal Ombudsman?

    The client must normally first complain to the firm and allow up to 8 weeks for resolution. They must then refer to the Legal Ombudsman within: 1 year of the act/omission complained of (or 1 year of when they should reasonably have known), and within 6 months of receiving the firm's final written response to the complaint.

16. What is the maximum award the Legal Ombudsman can direct, and what other remedies can it order?

    The Legal Ombudsman can direct compensation/redress up to a maximum of £50,000. It can also order the firm to apologise, put right an error, pay for work to be redone, refund or reduce fees, or pay compensation for distress and inconvenience.

17. State a solicitor's core duty not to mislead the court.

    You must not mislead or attempt to mislead the court, or another party, either by your own acts or omissions or by allowing or being complicit in the acts or omissions of others (including the client). This is an absolute duty; the duty to the court and administration of justice overrides the duty to the client.

18. If a client admits guilt to their solicitor in a criminal case but wishes to plead not guilty, what may the solicitor do?

    The solicitor may continue to act and put the prosecution to proof of its case (testing the evidence), but must not assert a positive case of innocence or call evidence the solicitor knows to be false (e.g. an alibi). The solicitor cannot suggest someone else committed the offence or that the client did not do it.

19. What must a solicitor do if they become aware they have inadvertently misled the court?

    They must, with the client's consent, immediately inform the court and correct the position. If the client refuses consent to correct the misleading information, the solicitor must cease to act, as continuing would involve misleading the court.

20. State the duties owed when dealing with other parties and their representatives.

    You must not take unfair advantage of others, and must not mislead or attempt to mislead them. You should not communicate directly with another party where you know they have retained a lawyer to act for them, unless that lawyer consents or there are exceptional circumstances. You must not abuse your position by taking unfair advantage of clients or third parties.

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