Ethics & Professional Conduct Flashcards

What is a 'retainer' in the context of a solicitor-client relationship?

Answer: The contractual agreement between solicitor and client defining the scope of the work to be undertaken and the terms of the engagement

A retainer is the contract between solicitor and client that defines the scope of the legal services to be provided, the terms on which they will be provided (including costs), and each party's obligations. It forms the basis of the professional relationship.

Under the SRA Code, what is a solicitor's obligation regarding costs information provided to clients?

Answer: Solicitors must give clients the best possible information about the likely overall cost of their matter, both at the outset and when circumstances change that affect costs

The SRA Code requires solicitors to give clients the best possible information about the likely overall cost of their matter at the outset and to update that information when circumstances change. This must be clear enough for the client to make informed decisions.

What is the solicitor's lien and when can it be exercised?

Answer: The right of a solicitor to retain a client's documents and property pending payment of outstanding fees (possessory lien), and in some cases a charge over funds recovered in litigation (charging lien)

A solicitor's lien includes: a possessory lien (retaining papers and property until fees are paid) and a charging lien (an equitable charge over property recovered or preserved through the solicitor's efforts in litigation). The lien is subject to the court's discretion to order delivery up of documents.

Which organisation handles complaints about solicitors that cannot be resolved with the firm directly?

Answer: The Legal Ombudsman (LeO)

The Legal Ombudsman (LeO) handles complaints about legal service providers (including solicitors) that cannot be resolved at firm level. The SRA handles conduct matters (dishonesty, breach of professional standards); the Law Society is the representative body, not a regulator.

Under the SRA Code, what is a solicitor's duty when instructed by a client who does not appear to understand the advice being given due to a vulnerability?

Answer: Take additional steps to ensure the client understands the advice, consider whether capacity is an issue, adapt communication to meet their needs, and consider whether a litigation friend or deputy is needed

The SRA Code requires solicitors to take into account client vulnerability and adapt their service accordingly. This includes using clear communication, taking extra steps to verify understanding, considering mental capacity, and potentially raising whether a deputy or litigation friend is needed.

What is the purpose of the 'client care letter' that solicitors must provide at the outset of a retainer?

Answer: To set out clearly the terms of the retainer including the scope of work, costs information, the name of the fee earner, complaints procedure, and key information required by the SRA Code

The client care letter (often combined with terms of business) must include: the scope of work; costs information and billing arrangements; the name and status of the fee earner; details of the complaints procedure; and regulatory information. It satisfies the SRA's costs and client care information obligations.