Ethics & Professional Conduct

A client has complained about how a junior solicitor dealt with their case. In accordance with the firm’s complaints procedure, the complaint has been passed to the senior partner for investigation. The senior partner has a very heavy caseload and has not considered the complaint. After several weeks, having heard nothing from the senior partner or the firm, the client takes the complaint to the Legal Ombudsman. The Legal Ombudsman finds that the original complaint is unjustified.

What action can the Legal Ombudsman take?

A Legal Ombudsman can take no further action against the senior partner or the firm.

B Legal Ombudsman may require the firm to pay compensation to the client but can take no further action regarding the senior partner personally.

C Legal Ombudsman can both require the firm to pay compensation to the client and report the senior partner to the SRA.

D Legal Ombudsman can only ask the firm to apologise for the delay in dealing with the complaint.

E The Legal Ombudsman may report the senior partner to the SRA but can take no further action regarding the firm

C is correct. Although the complaint was unjustified, it has not been dealt with properly and so the Legal Ombudsman may still take action, including the client to be compensated for inconvenience and so on. The Senior Partner is in breach of Paragraph 8.5 because the complaint has not been dealt with promptly and the Legal Ombudsman may report the senior partner to the SRA for this reason.

A solicitor is acting for a client in a litigation matter. Whilst the solicitor is presenting the client’s case at the final hearing, the solicitor forgets to refer to a recently decided case that would help the client’s case. Consequently, the judge finds in favour of the opponent.

Which of the following best explains the solicitor’s duties in this situation?

A The solicitor must not tell the client about the failure to refer to the recent case because that would risk bringing the firm’s name into disrepute.

B The solicitor is under no obligation to tell the client about the failure to refer to the
recent case because the client has not yet indicated that they intend to bring a claim
for negligence.

C The solicitor is under no obligation to tell the client about the failure to refer to the
recent case because any loss to the client will be covered by the firm’s insurance.

D The solicitor has a duty to be open and honest with the client and so must immediately tell the client about the failure to refer to the recent case.

E The solicitor has a duty to be open and honest with the client, but should delay telling the client about the failure to refer to the recent case until the solicitor has discussed the matter with the firm’s senior partner.

D is correct. Paragraph 7.9 requires a solicitor to be open and honest if things go wrong so the solicitor should tell the client about the omission immediately. The duty is not dependent on the client intending to bring a claim against the solicitor. There is no justification for delay. It is irrelevant that the firm’s reputation may be damaged or that any claim would be covered by insurance.

A solicitor is instructed by a new client. In conversation at the first interview the solicitor explains that the client has a right to complain about the solicitor’s services and charges; how complaints may be made and to whom; and that the client has a right to make a complaint to the Legal Ombudsman and when such a complaint could be made. The solicitor says that they will send a letter to the client confirming the information. However, the solicitor forgets to send the letter. A few days later, the solicitor receives a letter from the client, alleging that at the interview the solicitor had been rude and made a sexist remark. In accordance with the firm’s complaints procedure, the solicitor hands the letter to the firm’s senior partner. The client’s allegations about the solicitor are untrue.

Did the solicitor breach the SRA Code of Conduct for Solicitors, RELs and RFLs?

A No, because the solicitor followed the firm’s complaints procedure.

B No, because the solicitor provided the client with all the information about complaints required by the Code.

C No, because the solicitor was not rude and did not make a sexist remark.

D Yes, because the client is unhappy with the legal services they have received.

E Yes, because the solicitor did not provide the information about complaints in writing.

E is correct. The solicitor acted correctly at the interview and properly complied with the complaints procedure. The solicitor provided all the required information about costs, but, in breach of Paragraph 8.3, did not provide that information in writing. The fact that the client is unhappy does not of itself breach the Code.

A solicitor’s husband is caught by a speed camera travelling in his car at 100 mph on a 40 mph road. The husband already has several points on his driving licence and so, to avoid the husband being disqualified from driving, the solicitor makes a false statement to the police stating that she was driving the car at the time of the speeding offence. The solicitor has been qualified for six months and works in her firm’s commercial property department.

Which of the following statements best describes the professional conduct sanctions that the solicitor is likely to face?

A The solicitor will face mild sanctions in view of her junior status.

B The solicitor will face no sanctions because the SRA Principles do not apply to a solicitor’s private life.

C The solicitor will face mild sanctions because speeding is a minor offence.

D The solicitor will face mild sanctions for failing to uphold public trust and confidence in the solicitors’ profession.

E The solicitor will face severe sanctions for acting dishonestly.

E is correct. The SRA Principles apply both inside and outside practice. The conduct issue here is the making of the false statement. In making a false statement the solicitor has acted dishonestly. Dishonesty is always regarded as serious and will attract severe sanctions. The solicitor’s junior status is a relevant factor, but is unlikely to result in mild sanctions given such as a deliberate and flagrant breach of Principle 4.

A solicitor is instructed by a client in relation to a commercial contract. The solicitor attends a meeting with the other party’s solicitor to negotiate the terms of the contract. Later that day, the solicitor tells the client that they will immediately produce a written note of what was said at the meeting. The solicitor fails to make the written note.
Some months later, a disagreement arises over the implementation of one of the terms of the contract, and the client believes that having sight of exactly what was said at the meeting will resolve the disagreement. The client contacts the solicitor asking for the
written note. The solicitor cannot recall the meeting in detail, but types up a note of what the solicitor thought must have been discussed and presents it to the client, dated with the date of the
meeting.

Has the solicitor acted in accordance with the SRA Principles?

A Yes, because the solicitor has acted honestly in taking the best course of action that they could in the circumstances.

B Yes, because the solicitor’s duty to act in the best interests of the client outweighs all other considerations.

C Yes, because the solicitor’s actions have saved their firm from professional
embarrassment.

D No, because the solicitor has not acted with integrity.

E No, because the solicitor has not acted with independence.

D is correct. In producing a backdated note and presenting it to the client as if it were an accurate record made a year earlier earlier, the client has not acted with integrity. 

A client instructs a solicitor to carry out the conveyancing work on the sale of a house. The client has put the house on the market for an asking price of £500,000. The solicitor thinks that the asking price is cheap. The solicitor suggests to his wife that she should buy the house. The solicitor’s wife buys the property for £500,000 and sells it three months later, making a profit of £75,000.

Which of the following best describes the professional conduct implications of the solicitor’s actions?

A The solicitor did not do anything wrong because the client achieved their objective of selling the house.

B The solicitor’s actions are likely to diminish public trust and confidence in the solicitors’ profession because a profit has been made at the client’s expense.

C The solicitor did not do anything wrong because the client did not suffer a loss.

D The solicitor acted with integrity because the solicitor did not make a profit himself.

E The solicitor acted in the client’s best interests in securing the price the client wanted for the house

B is correct. The solicitor placed his own interests and those of his family above those of a client.

A solicitor is invited by the manager of a local care home to give an informative talk to the home’s elderly residents on the importance of making a will. The solicitor gives the talk to those residents who have expressed an interest in the subject matter and, in doing so, presents an even-handed and accurate explanation of the advantages and disadvantages of making a will. At the end of the talk the solicitor hands out leaflets advertising the solicitor’s firm’s will drafting services. The solicitor also offers to draw up a will there and
then for any residents that would like the solicitor to do so.

Which of the following best describes the consequences of the solicitor’s actions under the SRA Code of Conduct for Solicitors, RELS and RFLs?

A All of the solicitor’s actions breach the Code because they are unsolicited approaches to members of the public.

B The solicitor is unlikely to have done anything wrong in giving the talk, but handing out the leaflets and offering to draw up wills breach the Code as unsolicited approaches to members of the public.

C The solicitor is unlikely to have done anything wrong in giving the talk and handing out the leaflets, but offering to draw up wills breaches the Code as an unsolicited approach to members of the public.

D None of the solicitor’s actions breach the Code because making a will is in the client’s best interests.

E None of the solicitor’s actions breach the Code because the solicitor has acted
in response to the manager’s invitation, the solicitor’s approaches are not
unsolicited.

B is correct. As the solicitor is publicising services through a targeted and intrusive approach to members of the public, contrary to Paragraph 8.9.

A solicitor has been acting in a divorce case for a successful local businessman. The divorce case is now at an end. The firm’s senior partner tells the solicitor to telephone the businessman in order to promote the firm’s corporate department in the hope that the businessman will transfer the corporate work arising from his various business interests from his current lawyers to the solicitor’s firm.

Which of the following best explains what the solicitor should do?

A Make the telephone call because any breach of the SRA Code of Conduct for Solicitors, RELs and RFLs will be the senior partner’s responsibility.

B Make the telephone call because such a call would not constitute an unsolicited approach to a member of the public.

C Refuse to make the telephone call because such a call would constitute advertising.

D Refuse to make the telephone call because the solicitor no longer acts for the client.

E Refuse to make the telephone call because the solicitor could not make such a call and comply with their duty to act with integrity.

B is correct. Paragraph 8.9 allows solicitors to make unsolicited approaches to former clients.

An estate agent is undertaking a marketing campaign trying to acquire new clients by making targeted face-to-face visits to properties in the area worth over £1 million to see if
the owners are willing to sell. The estate agent contacts a solicitor and suggests that it would be mutually beneficial
for the estate agent to recommend to all clients acquired from the campaign that they instruct the solicitor to do the conveyancing work for them. The estate agent suggests that in return they are paid 1% of the solicitor’s conveyancing fees for each client who instructs the
solicitor as a result of the recommendation. The solicitor agrees to the estate agent’s suggestion and they enter into a written agreement to that effect. The agreement provides that every client must be informed of the
estate agent’s financial interest in making the recommendation.

Does the agreement breach the SRA Code of Conduct for Solicitors, RELs and RFLs?

A No, because the agreement is in writing.

B No, because every client is informed of the estate agent’s financial interest in making the recommendation.

C No, because the solicitor is not making any direct approach to the clients.

D Yes, because solicitors are not permitted to share their fees.

E Yes, because the estate agent is acquiring the clients by making unsolicited approaches to members of the public

E is correct. Solicitors are permitted to enter into fee-sharing arrangements of this kind. They must be in writing and must inform the client of their financial interest. However, the solicitor must ensure that clients are not recruited in a way that would breach their Code of Conduct.

A solicitor is instructed by a long- standing client to draw up the client’s will. The client’s instructions are that, in recognition of all the work the solicitor has done for the client over the years, the will is to include a legacy of £10,000 to the solicitor.

Which of the following best describes what the solicitor should do?

A Refuse to draw up the will.

B Draw up the will, but omit the legacy.

C Draw up the will, as instructed, after the client has taken independent advice.

D Draw up the will, but make the legacy payable to the solicitor’s children.

E Draw up the will, as instructed, after giving the client the details of local solicitors able to advise on wills

C is correct. The guidance from the SRA is that usually a solicitor should refuse to act where the client is proposing to make a significant gift to the solicitor or a family member etc unless the solicitor is satisfied that the client has taken independent advice.

A father and daughter are buying a property together. The daughter instructs a solicitor to deal with the purchase on their joint behalf. The daughter explains that the father is
elderly and too frail to attend at the solicitor’s office. The daughter tells the solicitor that the property is to be held by them as beneficial joint tenants, but that the father will be providing all the money for the purchase price. The daughter says that they are buying the
property so that the daughter can move in to live with the father and care for him in his old age.

Should the solicitor act on the daughter’s instructions and immediately proceed with the purchase?

A No, because a solicitor cannot accept instructions from a third party in any
circumstances.

B No, because the solicitor has reason to suspect that the instructions do not represent the father’s wishes.

C Yes, because the daughter alone is the client.

D Yes, because proceeding with the purchase is in the father’s best interests.

E Yes, because, as the father’s carer, the daughter is automatically authorised to give instructions on his behalf

B is the best answer. The solicitor is being instructed by joint purchasers (option C is wrong). The solicitor can accept instructions from a third party who is authorised to give those instructions (option A therefore overstates the matter). However, the daughter’s status as a carer would not give her that authority (option E is therefore wrong). The father’s age,
frailty and the fact that he alone is providing the entire purchase price mean that there is reason to suspect that the instructions do not represent the father’s wishes (option D therefore does not represent the best answer). The solicitor should not proceed until they have satisfied themselves that the instructions do accord with the father’s wishes. The solicitor cannot establish that the purchase is in the father’s best interests until the father’s wishes are
established.

A female solicitor is instructed by a male client in an acrimonious litigation matter. The case progresses properly for two months. Then the solicitor receives a letter from the client saying that the client has come to the view that women are too weak for robust litigation. The client goes on to say that he has now instructed a male solicitor in a different firm. The client asks for his file to be transferred to his new solicitor without delay. On looking at the client’s file the solicitor sees that there are fees outstanding of £2,000 for the work that the she has completed to date on the case.

Which of the following best describes the professional conduct position?

A The client cannot terminate the retainer because his grounds are discriminatory.

B The solicitor can retain the file until her proper fees are paid.

C The client cannot terminate the retainer because the solicitor has dealt with the case properly to date.

D The solicitor must transfer the file to the new solicitor immediately, but is entitled to be paid her proper fees.

E The client cannot terminate the retainer because he has not given reasonable notice to the solicitor.

Option B is correct. The solicitor has a lien over the file until her proper fees are paid. The client has the right to terminate the retainer at any time for any reason.

A solicitor receives a telephone call from a client complaining about the bill which the solicitor sent to the client last week. The client wants the bill reduced, but the solicitor thinks that the bill is entirely justified.

Which of the following best describes what the solicitor should do?

A Tell the client to take the complaint to the Legal Ombudsman.

B Ask the court to assess the bill.

C Refer the client to the firm’s complaints procedure.

D Warn the client that the firm will charge a set fee for dealing with the complaint.

E Sue the client for the full amount of the bill

is correct. Complaints should be dealt with following the firm’s complaints procedure
(option A accordingly is not the best answer). It is only appropriate to involve the Legal Ombudsman if the complaint cannot be concluded to the client’s satisfaction following the firm’s complaints procedure.

A solicitor is instructed by a new client in relation to an acrimonious divorce. The breakdown of the marriage is very recent and, when giving instructions at the first meeting with the solicitor, the client becomes distressed. The solicitor’s costs will be dealt with on the basis of an hourly charging rate. However, given the complexity of the case it is not possible for the solicitor to give an accurate figure for how much the case, as a whole, will cost.

Which of the following best describes how the solicitor should deal with the question of costs?

A During the meeting the solicitor should give the client their hourly charging rate.

B The solicitor should say nothing about costs as this will only cause the client more distress.

C During the meeting the solicitor should tell the client about the hourly charging rate and warn that the overall cost will be high.

D During the meeting the solicitor should tell the client about the hourly charging rate, explain the possible costs range and set a date for reviewing costs.

E During the meeting the solicitor should explain that an accurate figure cannot be given for the overall cost of the case.

Option D is correct. Paragraph 8.7 requires the solicitor to ensure that the client receives the best possible information about how the matter will be priced and the likely overall cost of
the matter. On these facts this would require the solicitor to explain the hourly charging rate as the basis of the charge (options B and E are therefore wrong). Additionally, as no accurate figure can be given for the overall costs, the solicitor should explain the costs range and set a date for reviewing costs (setting a costs ceiling would be an acceptable alternative).

A solicitor refers a client to a surveyor for advice on some structural damage to the client’s property. This is the first client that the solicitor has referred to this particular surveyor. Following the referral the solicitor is surprised to receive £150 from the surveyor. The surveyor explains that their usual practice is to pay £150 commission for any referral as a gesture of goodwill.

Which of the following best explains what the solicitor should do about the £150?

A There is no need to tell the client about the £150 because it is a private matter between the solicitor and the surveyor, so the solicitor can just keep the payment.

B The solicitor must tell the client about the £150, but the solicitor is entitled to keep the payment because it was just a gesture of goodwill.

C The solicitor must immediately return the £150 because solicitors are not permitted to receive commission fees under any circumstances.

D The solicitor must tell the client about the £150, and keep the payment, if the client agrees.

E The solicitor must immediately pay the £150 to the client.

D is correct. Paragraph 5.1 requires a solicitor to inform the client of
any financial benefit the solicitor has in referring the client to another person. The client must therefore be
told about the payment (option A is accordingly wrong). Paragraph 4.1 requires a solicitor to account to the client for any financial benefit received, unless the client agrees otherwise.

A solicitor is acting for the claimant in a contract dispute. Shortly before the final hearing, the defendant’s brief to counsel in the case is delivered to the solicitor’s office by mistake.

What should the solicitor do?

A Read the brief and then make the client aware of any of the contents which are material to the client’s matter.

B Immediately return the brief to the defendant’s solicitors without reading it.

C Read the brief and then make use of its contents at the final hearing.

D Ask the client for instructions on whether to return the brief.

E Destroy the brief without reading it.

Option B is correct. Where a solicitor receives confidential information by mistake, immediately on becoming aware of the error, the solicitor must return the papers to the originating solicitor without reading them or otherwise making use of their contents (Ablitt v Mills & Reeve [1995]). Paragraph 6.4 (d) provides for an express exception to the duty to disclose information material to a client’s matter when such information is mistakenly disclosed via a privileged
document.

A solicitor drew up a will for a client. The terms of the will appointed the client’s widow as executor and left the entire estate to the client’s son. The client died last week. The client’s son contacts the solicitor and explains that he is in debt and that he urgently needs proof that he will soon receive an inheritance to show to his main creditor otherwise the creditor will start bankruptcy proceedings against him. The son requests a copy of the will.

Which of the following best explains how the solicitor should respond to the request?

A Immediately email a copy of the will to the son because this is in the client’s best interests.

B Immediately email a copy of the will to the son because the solicitor’s duty of
confidentiality ceased on the client’s death.

C Offer to immediately write a letter to the creditor confirming that the entire estate will pass to the son because the duty of confidentiality only arises in respect of a copy of the will itself.

D Ask the widow for consent to release a copy of the will because the duty of
confidentiality has passed to the widow.

E Immediately email a copy of the will to the son because the need to avoid bankruptcy proceedings is an example of the disclosure of confidential information being required
by law.

D is correct. The duty of confidentiality in Paragraph 6.3 extends to current and former clients and survives death of a client. On death the duty of confidentiality passes to the personal representatives. Accordingly, the solicitor cannot provide a copy of the will in the absence of consent from the widow as executor, and options A and B are therefore wrong.

A solicitor is instructed by a new client in the purchase of a house. One of the solicitor’s former clients sold the house to its current owner 12 months ago at a much reduced price because the house had been flooded twice in the previous three years. The new client does
not know that the house is at risk of flooding.

Which of the following best describes the position with regard to the solicitor’s duty of disclosure?

A The solicitor can only disclose the risk of flooding to the new client with the former client’s consent.

B The solicitor must disclose the risk of flooding to the new client because the duty of disclosure takes precedence over the duty of confidentiality.

C The solicitor has no duty to disclose the risk of flooding to the new client because the information is not material to the retainer.

D The solicitor can disclose the risk of flooding to the new client because the solicitor owes no duty of confidentiality to the former client following termination of the retainer.

E The solicitor must disclose the risk of flooding to the new client because this is in the new client’s best interests

is correct. The solicitor owes a duty of confidentiality to the former client; option D therefore is wrong. Option E is wrong as the duty of confidentiality can only be overridden with the former client’s consent (note that disclosure is not required or permitted by law on these facts). The duty of disclosure does not take precedence; option B is wrong.

A solicitor is asked to act in a boundary dispute. The prospective client owns a piece of land adjacent to a company’s warehouse premises. The company has recently erected a fence which encroaches onto the land. The solicitor tells the prospective client that the solicitor is on the company’s board of directors. However, the solicitor reassures the prospective client that the solicitor does not act for the company and that the solicitor will keep the prospective client’s information confidential.

Is the solicitor able to act for the prospective client?

A Yes, because the prospective client is aware of the solicitor’s directorship.

B Yes, because effective safeguards are in place to protect the prospective client’s confidential information.

C Yes, because there is no connection between the directorship and the solicitor’s professional work.

D No, because there is an own interest conflict.

E No, because there is a conflict of interest between the prospective client and the company.

is correct. This is an own interest conflict and therefore the solicitor cannot act in any circumstances (Paragraph 6.1). There are no exceptions contained in Paragraph 6.1. The company is not a client, and so there can be no conflict of interest.

A father is selling one of his many properties to his daughter at a substantial undervalue to
help her to get a start on the property ladder. They both ask the same solicitor to carry out the conveyancing work for them.

Which of the following best explains who the solicitor can act for?

A The solicitor cannot act for either as there is a conflict of interest between father and daughter.

B The solicitor cannot act for either as there is an own interest conflict.

C The solicitor can act for both as they are ‘competing for the same objective’.

D The solicitor can act for both as the risk of a conflict of interest is not significant.

E The solicitor cannot act for the father as selling the property at a substantial
undervalue is not in his best interests.

D is correct. Paragraph 6.2 provides that you must not act if there is a client conflict or significant risk of a client conflict. Usually, there will be a client conflict in acting for both seller
and buyer in a residential property transaction. However, this will not always be the case. On the facts, this is a case where a conflict is unlikely to arise (option A therefore is not the best
answer).

A solicitor receives instructions to act for the claimant in a litigation matter. The solicitor’s colleague in the firm’s litigation department, already acts for the defendant in the same matter.

Can the solicitor act for the claimant?

A Yes, because the parties have a ‘substantially common interest’ in the matter.

B Yes, because the parties are ‘competing for the same objective’.
C Yes, because there is no conflict of interest where the parties are represented by different solicitors within the same firm.

D No, because there is a conflict of interest.

E No, because there is an own interest conflict.

D is correct. The clients here have opposite interests as they are on different sides in the dispute. This gives rise to a conflict of interest. Neither exception in Paragraph 6.2 can apply to opponents in litigation, accordingly, options A and B are wrong. Paragraph 6.2 is replicated in the Code for Firms and so applies to the firm as a whole and not just to individual solicitors or employees, meaning that option C is wrong.

A solicitor works for an unincorporated law firm. The solicitor is acting for the buyer in a protracted residential conveyancing matter. The solicitor receives a telephone call from the
seller (who is unrepresented). The seller is becoming increasingly frustrated at the delay and threatens to pull out of the deal. To prevent this, the solicitor says to the seller, ‘My firm will pay the deposit of £20,000 to you by 10 am tomorrow.’

Which of the following statements best explains who is liable to pay the £20,000?

A Neither the solicitor nor the firm are liable because the solicitor did not use the word ‘undertake’ when speaking to the seller.

B The firm is liable, but not the solicitor, because this was an undertaking expressly made on the firm’s behalf.

C The firm is liable, but not the solicitor, because the solicitor was acting in the best interests of the client.

D The solicitor is liable, but not the firm, because an undertaking is only binding on the person who gave it.

E Both the solicitor and the firm are liable, because the statement made by the solicitor amounts to an undertaking binding on both the individual and the firm

E is correct. The statement is an undertaking even though the word ‘undertaking’ is not used (option A is therefore wrong). The SRA Glossary definition makes it clear that it is not necessary to include the word ‘undertake’ for an oral or written statement, on which reliance is placed, to constitute an enforceable promise.

A solicitor is in practice as a sole practitioner. The solicitor is acting for a client in a litigation matter. At the hearing, the client loses the case and is ordered to pay £5,000 towards the
opponent’s costs. Outside court the solicitor says to their opponent, ‘Don’t worry. I’ll make sure that the £5,000 will be paid within the next 14 days.’ Fourteen days have now elapsed
and the client has still not provided the solicitor with any funds to pay the costs.

Who can force the solicitor to comply with the promise?

A The Solicitors’ Regulatory Authority.

B The Solicitors’ Disciplinary Tribunal.

C The Legal Ombudsman.

D The court.

E No one.

D is correct. The solicitor’s statement would amount to a solicitor’s undertaking and the solicitor has not complied with its terms. Whilst a failure to perform an undertaking may result in disciplinary proceedings being taken against the solicitor, only the court has the power to enforce a solicitor’s undertaking.

A solicitor is acting for the seller in a residential conveyancing transaction. At 5 pm, the solicitor receives a telephone call from the buyer’s solicitors to say that in breach of their agreement, the seller has failed to finish some repairs to the property. Completion is due to
take place the following morning and the buyer is threatening to pull out of the transaction unless the repairs are completed. To ensure that the transaction proceeds, the solicitor
confirms to the buyer’s solicitor that the seller will carry out the repairs before completion. The solicitor immediately telephones the seller. The seller’s voicemail message says the
seller has been unexpectedly called away on business and cannot be contacted until tomorrow afternoon.

Which of the following best explains the solicitor’s professional conduct position?

A The solicitor has given an undertaking which is binding upon the solicitor personally.

B The solicitor has acted dishonestly in making a promise which could not be met.

C There are no professional conduct issues because the promise was that it would be the client, rather than the solicitor, who would carry out the repairs.

D There are no professional conduct issues because the telephone conversation was not confirmed in writing.

E There are no professional conduct issues because the promise was too ambiguous to be construed as an undertaking

A is correct.

A solicitor is acting for a client on a plea of guilty to a charge of assault on a member of staff in a public house. At the sentencing hearing the court asks the solicitor to confirm that the client’s list of previous convictions is accurate. The client instructs the solicitor to confirm that the list is accurate despite the fact a conviction for assaulting a bartender last year has been omitted. The solicitor advises the client that this omission should be corrected, but the
client does not want to do this.

Which of the following best explains what the solicitor should do?

A Tell the client that the solicitor must cease to act because the solicitor cannot knowingly mislead the court.

B Do as the client instructs because the solicitor’s duty to act in the best interests of the client overrides the solicitor’s duty not to mislead the court.

C Continue to act but tell the court that the list is inaccurate because keeping quiet would be a breach of the solicitor’s duty to act in a way which upholds the proper administration of justice.

D Correct the list and then cease to act because this accords with the solicitor’s duty to uphold the proper administration of justice.

E Continue to act but refuse to confirm or deny the accuracy of the list because the solicitor will not mislead the court by remaining silent.

A is correct. The solicitor cannot continue to act knowing that the list is inaccurate as this would be misleading the court (Paragraph 1.4). However, the solicitor cannot disclose confidential information without the client’s consent (Paragraph 6.3). Hence, the solicitor would have to cease to act, without correcting the list

A solicitor is acting for the defendant in a criminal case. The solicitor interviews a potential witness. During the course of the interview, it transpires that the witness’ evidence works against the defendant’s case.

Which of the following best describes how the solicitor’s duties apply in this situation?

A The solicitor’s duty to act in the client’s best interests requires that the solicitor try to persuade the witness to change their evidence.

B The solicitor is not obliged to call the witness, but the solicitor must be careful to adhere to the solicitor’s duty not to mislead the court.

C The solicitor’s duty to uphold the administration of justice requires the solicitor to call the witness regardless of the evidence the witness will give.

D The solicitor is under a duty to draw the court’s attention to the witness’ evidence because it is likely to have a material effect on the outcome of the case.

E The solicitor’s duty to act with integrity requires the solicitor to tell the prosecution about the witness’ evidence.

B is correct There is no obligation to call the witness (option C therefore is wrong),
but Paragraph 1.4 requires that a solicitor does not mislead the court.