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

24 sample cards from the Professional Ethics and Conduct deck

Sampled from the end of the deck, so these are different cards from the ones shown on the syllabus page.

1. What does Core Duty 6 (confidentiality) require, and how long does the duty last?

   CD6 requires the barrister to preserve the confidentiality of each client's affairs. The duty is fundamental, survives the end of the retainer, and continues indefinitely (it does not end when the case concludes or even on the client's death).

2. State the recognised limits/exceptions to a barrister's duty of confidentiality.

   Confidentiality may be overridden where: disclosure is required or permitted by law (e.g. anti-money-laundering reporting under POCA); the client gives informed consent; or disclosure is necessary to prevent serious harm in narrowly defined circumstances. The duty is not overridden merely by the duty to the court.

3. Define a 'conflict of interest' for a barrister and name the two principal types.

   A conflict of interest arises where the barrister's duties to one client are inconsistent with duties to another, or with the barrister's own interests. The two principal types are: (1) own-interest conflict (barrister's personal interest vs client's); and (2) client conflict (duties to two or more clients conflict).

4. Under the BSB Handbook, when must a barrister NOT accept or must cease to act due to conflict?

   A barrister must not accept instructions, or must cease to act, where there is a conflict of interest between the barrister's own interests and the client's, or between two clients, such that the barrister cannot fulfil their duty to act in the best interests of each client — unless all affected clients give informed consent and it is otherwise proper.

5. How does the confidentiality duty interact with conflicts where confidential information of one client is relevant to another?

   A barrister must not act for a client if doing so would require, or risk, using or disclosing another (former or current) client's confidential information against that client's interests, or if the duty of confidentiality to one client conflicts with the duty of disclosure/best interests to another. In such cases the barrister must decline or cease to act.

6. State the cab-rank rule and the Core Duty it primarily supports.

   The cab-rank rule (rC29) requires a self-employed barrister to accept any instructions in a field in which they profess to practise, irrespective of the identity of the client, the nature of the case, the client's opinions/conduct, or the source of funding — provided certain conditions are met. It supports access to justice and the principle that everyone is entitled to representation.

7. List the main conditions/qualifications that must be satisfied for the cab-rank rule to apply.

   The rule applies where: (1) the instructions are in an area you profess to practise; (2) you are appropriately experienced/competent; (3) you are available (not already committed); (4) the work is at a proper professional fee/usual terms (or you fail to agree a fee); and (5) the instructions come through a professional client/in the proper manner. It applies to self-employed barristers (and certain BSB entities), subject to the exceptions in rC30.

8. Give four circumstances (rC21/rC30) in which the cab-rank rule does NOT apply / you must or may refuse instructions.

   You must refuse/the rule doesn't bite where, e.g.: (1) you lack the competence or experience; (2) accepting would create a conflict of interest or breach confidentiality; (3) you lack sufficient time/the time is too short to handle the matter properly; (4) instructions are on terms other than your normal/proper fee terms, or funding arrangements are unacceptable; also where you would be professionally embarrassed or it would breach a Core Duty.

9. What is meant by 'professional embarrassment' as a ground to refuse or return instructions?

   Professional embarrassment (rC21) requires a barrister to refuse or return instructions where, e.g., they lack competence or experience, lack adequate time/opportunity to prepare, there is a conflict of interest, they would be professionally embarrassed by acting, or continuing would breach their duties (e.g. risk to confidentiality or to the duty to the court).

10. When MUST a barrister return instructions they have already accepted (rC25/rC26)?

    A barrister must cease to act and return instructions if: continuing would breach the Core Duties; they become aware they lack competence/sufficient time; there is a conflict of interest; their professional independence would be compromised; or the client withdraws authority. They must not return instructions or cease to act without good reason and adequate notice.

11. Can a barrister return instructions in a way that prejudices the client's interests, e.g. late in a case?

    No. Even where a barrister may return instructions, they must not do so in a way (or so late) that the client cannot find alternative representation in time (rC27/rC26). They must ensure the client's interests are protected and adequate notice/justification is given.

12. What does Core Duty 8 require regarding equality and non-discrimination?

    CD8 requires that a barrister must not discriminate unlawfully against any person. This obliges barristers to act in accordance with equality law and the Handbook's equality rules in their practice, including in relation to clients, other lawyers, staff and pupils.

13. Which statute governs unlawful discrimination relevant to barristers, and what are the protected characteristics?

    The Equality Act 2010. The nine protected characteristics are: age, disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, sex, and sexual orientation.

14. How does the cab-rank rule reinforce equality and non-discrimination?

    By requiring a barrister to accept instructions irrespective of the client's identity, beliefs, conduct or the unpopularity of their cause, the cab-rank rule prevents discriminatory refusal of representation and ensures access to justice for all, complementing CD8's non-discrimination duty.

15. What positive equality-related obligations does the BSB Handbook place on chambers/employers (beyond not discriminating)?

    Chambers must take reasonable steps to ensure non-discriminatory practices, including: having an equality and diversity policy, appointing a Diversity Data Officer, fair and non-discriminatory recruitment and allocation of work, reasonable adjustments for disability, and a fair-access/anti-harassment regime.

16. Define money laundering for the purposes of a barrister's obligations.

    Money laundering is the process of concealing, disguising, converting, transferring or possessing the proceeds of criminal conduct, or of acquiring/using such proceeds, so that they appear legitimate. The principal offences are found in the Proceeds of Crime Act 2002 (POCA).

17. What are the three principal money-laundering offences under the Proceeds of Crime Act 2002 (POCA)?

    (1) Concealing, disguising, converting, transferring or removing criminal property (s.327); (2) being concerned in an arrangement that facilitates the acquisition, retention, use or control of criminal property (s.328); and (3) acquiring, using or possessing criminal property (s.329).

18. What is the 'failure to disclose' / suspicious activity reporting obligation under POCA in the regulated sector?

    Persons in the regulated sector who know or suspect (or have reasonable grounds to suspect) money laundering must make a disclosure (a Suspicious Activity Report, SAR) to the firm's Nominated Officer (MLRO) or the National Crime Agency (NCA), normally as soon as practicable. Failure to disclose can be a criminal offence (POCA ss.330–332).

19. What is the 'tipping off' offence and why does it matter for confidentiality?

    Tipping off (POCA s.333A, regulated sector) is disclosing to the suspected person, or anyone, information likely to prejudice a money-laundering investigation after a SAR has been or is being made. It is a criminal offence and constitutes a key statutory limit on the barrister's duty of confidentiality.

20. What protection does an 'authorised disclosure' / appropriate consent provide under POCA?

    Making an authorised disclosure (SAR) and obtaining appropriate consent (a defence/'DAML' — defence against money laundering) from the NCA before proceeding can provide a defence to the principal s.327–329 offences. Acting after disclosure with consent (or after the relevant notice/moratorium periods) protects the barrister from prosecution.

21. Are barristers generally within the 'regulated sector' for the Money Laundering Regulations, and what is the key exception?

    Most barristers conducting traditional advocacy/litigation are NOT within the regulated sector, but barristers undertaking certain transactional/financial or tax work (e.g. participating in financial or real property transactions, company formation) may fall within the Money Laundering Regulations 2017 and must then apply customer due diligence and SAR procedures. The POCA principal offences (ss.327–329) apply to everyone regardless.

22. What does Core Duty 9 require, and give an example of compliance.

    CD9 requires a barrister to be open and co-operative with their regulators (the BSB). Example: promptly reporting serious misconduct (their own or another's), responding fully and honestly to BSB enquiries, and not concealing relevant information from the regulator.

23. What is the duty to self-report and report others under the BSB Handbook?

    A barrister must report to the BSB promptly if they have committed serious misconduct, and must report another barrister whom they have reasonable grounds to believe has committed serious misconduct (subject to client confidentiality and legal professional privilege). This flows from CD9 (openness/co-operation) and protects public confidence (CD5).

24. What does Core Duty 5 protect, and give an example of conduct that breaches it.

    CD5 requires that a barrister must not behave in a way which is likely to diminish the trust and confidence which the public places in them or in the profession. Examples of breach: serious dishonesty, criminal convictions, abusive or discriminatory behaviour, or seriously offensive social-media conduct — even outside professional practice.

What this deck covers

Professional Ethics and Conduct flashcards FAQ