Professional Conduct and Regulation - Distinction Model Answers - SRA Code of Conduct 2011
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Course
Professional Conduct
Institution
University Of Central Lancashire
Model answers prepared for examination in 2020. Drafted by LLM LPC Graduate with Distinction.
**PLEASE NOTE** This relates to SRA Code of Conduct 2011.
The issue relates to Chapter 1, client care and Principle 3, a solicitor should not allow their
independence to be compromised. Accepting gifts from clients may undermine outcome 1.1, to treat
all client’s fairly. If the gift proposed is of a significant value, aka more than a token gift, the solicitor
should refuse to act under indicative behaviour 1.9.
CLIENT CARE AND COSTS
The issue relates to Chapter 1, client care and Principles 1 and 5. Principle 1 states that solicitors
should uphold the rule of law and the proper administration of justice and Principle 5 states that
solicitors should provide a proper standard of service to their clients. Solicitors must achieve the
standards of client care set out in the Codes of Conduct. The client must ensure clients are given
information in a way they can understand and make informed decisions about the services they need,
how the matter will be handled and the options available to them (Outcome 1.12). The services
provided to the client must be competent, delivered in a timely manner and take account of the
client’s needs and circumstances (Outcome 1.5). In terms of costs, the solicitor is obliged to inform the
client both at the time of engagement and where appropriate as the matter progresses about the
likely overall costs of the matter (Outcome 1.13).
UNDUE INFLUENCE
This issue relates to Chapter 1, client care and Principles 4, acting in the best interests of each client
and 5, providing a proper standard of service to your clients. Solicitors must provide services to their
clients in a manner which protects their interests in the matter, subject to the proper administration
of justice under Outcome 1.2. To meet this outcome, the solicitor must have proper regard to the
client’s mental capacity or other vulnerabilities such as incapacity or duress (Indicative Behaviour
1.6). If the solicitor acts for a client where there are reasonable grounds for believing that the
instructions are affected by duress or undue influence, the outcomes will not have been met
(Indicative Behaviour 1.28). If solicitor is not satisfied that the instructions are genuine of the client’s
own free will, the solicitor cannot act in the best interests of the client (principle 4) and therefore
should decline to take instructions (IB 1.7).
COMPLAINTS AND PROCESS
This issue relates to Chapter 1, client care and Principle 5, providing a proper standard of service to all
clients. Solicitors must be informed in writing at the outset of the matter of their right to complain
and how complaints can be made (Outcome 1.9). Client must also be informed in writing, both at the
time of engagement and at the conclusion of your complaints procedure, of their right to complain to
the Legal Ombudsman, the time frame for doing so and full details of how to contact the Legal
Ombudsman (Outcome 1.10). Any complaints from clients must be dealt with promptly, fairly, openly
& effectively. The firm should have a written complaints procedure under IB 1.22 and when dealing
with any complaints, the client should be provided with all the necessary information concerning the
handling of the complaint.
LEGAL OMBUDSMAN PROCESS / SANCTIONS
Ordinarily, the complainant cannot use the legal ombudsman unless the solicitor’s complaint
procedure has been used. However complainants can use the legal ombudsman on 3 occasions: firstly,
if the complaint has not been resolved to the complaints satisfaction within 8 weeks of being made to
the solicitor, secondly if the Legal Ombudsman considers that there are exceptional reasons to
consider the complaint sooner or without it having been made first to the solicitor or when the Legal
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