BPP University College Of Professional Studies Limited (BPP)
BPP University College Of Professional Studies Limited
Professional Conduct & Regulation
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L.O. PCR SGS 1 Consolidation
EXAM TIPS/KEY EXAM INFORMATION
INFO - 2 hour exam; 80 marks
- Competent/Not Competent marking criteria
- MCQs EXAM
- Part A: 32 marks (self-study element - lectures and workbook)
- Part B: Enhanced topics (covered in the SGSs)
- FSMA (est. 2 questions)
- 2 MCQs on each topic (either worth 3 or 4 marks)
- Part B: 3 or 5 marks
- Inspera exam (ONLY hard copy materials; no online resources)
PCR ISSUE – EXAM STRUCTURE:
1. Who is the client?
2. What is the PCR issue?
3. What are the references? (CCS, CCF, Principles, PoCA, MLR etc.)
4. Advice or action to take?
CDD ANALYSIS – APPROACH:
1. Do the MLR apply to this type of work?
2. New or established client?
3. What CDD is required for this client?
4. When should CDD be conducted for this client?
SRA PRINCIPLES – GUIDANCE
- Where Principles conflict, those which safeguard the WIDER PUBLIC INTEREST (e.g. rule of
law, public trust in solicitors + safe and effective space for legal services) TAKES PRECEDENCE
over individual client’s interests
L.O.1 + L.O.2: SRA PRINCIPLES + CODES OF CONDUCT
Identify Professional
Conduct Issues + 1.1 Governing Bodies
- Law Society (representative of solicitors)
Apply the Codes (CCS
- SRA (regulatory + disciplinary body; setting principles for solicitors)
+ CCF) - Legal Ombudsman ( not strictly governing body; where members of public make complaints)
Conduct an Analysis
on Recommendations 1.3.3 Prospective Solicitors
and Steps Required - Already treated as part of profession; held to same standard as qualifying solicitors
- Internal regulations apply (e.g. BPP regulations)
- Must prove character suitability to the SRA
2.The SRA Principles - You must act:
1. Uphold constitutional principle + rule of law
2. Public trust and confidence
3. With independence (advise client free from personal interests)
4. With honesty
5. With integrity (your behaviour also matters; integrity concept is wider)
6. Encourages equality, diversity and inclusion
7. Best interests of client
- Must comply with other regulatory requirements (alongside SRA)
,2.2 Conflict between Principles
- Can be conflict; one that prevails is the one that best serves and protects wider public
interest
2.4 Breach of Principles
- Underpinned by SRA's enforcement strategy
- Enforcement strategy sets out reporting guidance for those who wish to report solicitor's
conduct to SRA
3.2 CCS An Overview
- CCS (solicitors) and CCF (firms); can be elements of cross-reference
- 8 paragraphs
- Authorised individuals inc. solicitors, reg. EU lawyers, reg foreign lawyers; must be able to
justify reasoning
3.3 CCF An Overview
- Aim is to describe the standard and business controls of the SRA, and what the public expect
of firms
- 9 paragraphs
- "You" = referenced to firm registered under SRA
CLIENT CARE, COSTS AND COMPLAINTS
4.CLIENT CARE
- Most common complaints:
Not returning calls
Not answering letters/emails
Not explaining costs properly
Legal jargon
Delay
- Provisions CCS 7.1 + 8; authorised individuals deliver a good client service
4.1 CLIENT CARE: BEFORE ACCEPTING INSTRUCTIONS [CCS 8.1]
- Beware of client's intention; check where they want to launder money or terrorist financing
- Must undertake customer due diligence before accepting client
- CCS 8.1; identify who you are acting for; make sure you find out their objectives
- Individual client identification (e.g. passport) and firm identification (certificate of
incorporation, passport of key Ds etc.)
4.2 ACCEPTING INSTRUCTIONS
- Free to take on client so long as no unfair discrimination (CCS + CCF 1.1 and Principle 6)
- Can you accept instructions if you:
Will breach the law/the Codes? (e.g. lying to courts/conflicts of interest?)
Cannot deliver the service in a way competent/timely way? (CCS 3.2/ CCF 4.4)
Client instructions? Or someone authorised to do so? (CCS 3.1/CCF 4.1)
i. Be clear for WHO you are acting for
4.3 CLIENT CARE: CLIENT CARE LETTERS
- Common to send out most info in CCS 8 within client care letter/retainer; NOT mandatory for
letter but some key provisions need to be sent
- Treating clients as per obligations/codes
- Checklist to help authorised individuals review client care letter - should consider:
Do you explain what is going to happen?
Do you include how much the work is going to cost?
Do you explain when things are going to happen?
Do you explain what the client needs to do?
Do you include contact details?
, Does your letter show a clear purpose?
Is your letter concise?
Do you use plain English?
Do you prioritise information?
Do you personalise information?
Is your client care letter easy to read?
Do you highlight key information?
Have you considered the needs of vulnerable clients?
4.3.2.1 SERVICE AND COMPETENCE
- Know your client CCS 3.1/CCF 4.1
If you have reason to believe decisions are not client's wishes; right NOT to act until
satisfied
Can communicate instructions from both client + someone authorised on their behalf
- Competent and timely manner CCS 3.2/CCF 4.2
- Each client's needs, attributes, and circumstances CCS 3.4/CCF 4.2
- Competence + professional skills up to date CCS 3.3
- Managers + employees are competent CCS 4.3
- Efficient system for supervising client's matters CCF 4.4
- Remain accountable for work + effectively supervise CCS 3.5
- Individuals being managed are competent CCS 3.6
4.3.2.2 CLIENT INFORMATION AND PUBLICITY
- Information given in a way client can understand - CCS 8.6
- Information re. regulation - CCS 8.10
e.g. informing client of approved regulator, how things will be carried out for them
- Aware that regulatory protection is available to them - CCS 8.11
- Be transparent to client to avoid misunderstanding
4.3.2.3 CLIENT CARE - COSTS
- Need to be transparent on advising costs; basic info on how much you charge them
- Costs contained in client care letter + discussed with client
- Provided time of engagement and over the course of transaction
- Details on info given to charges (+ contentious matters on complaints on bills)
- Best possible info about how matter will be priced; obligation on authorised invid.- CCS 8.7
- Publicity inc. that relating to your charges is accurate - CCS 8.8
- Complaints re charges CCS 8.3
Standard set out in start of matter in writing e.g. client care letters
- Keep tabs on costs and continually pre warning client (e.g. costs on unexpected proceedings)
4.3.2.5 CLIENT CARE: COMPLAINTS + REGULATION
- Complaints handling procedure - CCS 8.2/CCF 7.1(c)
- Ensure told about right to complain - CCS 8.3/ CCF 7.1(c)
- Procedure for resolution of complaints - CCS 8.4/ CCF 7.1(c)
- Complaints are dealt with promptly, fairly, and free of charge - CCS 8.5/ CCF 7.1(c)
CLIENT CARE LETTERS GENERALLY
- Ongoing obligations
Obligations do NOT cease after client care letter sent
Ongoing obligation to keep client informed on all aspects of matter
Duty to inform if any info in client letter becomes superseded e.g. changing costs
- Repeat Business
Certain instances where inappropriate to provide all info
Annual client letters to established clients + shorter letters once received instructions on
a matter
- Contents
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