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Professional Ethics Exam Questions and
Answers (100 OUT OF 100) Latest Update)
You are defending a claim brought by Nathan at an assessment of damages hearing (your client is Nathan's insurance company). It is a straightforward case in which you were instructed the previous evening. The key loss Nathan needs to prove is the sum of money he allegedly paid to have his damaged car repaired. You have been told that Nathan's solicitors have requested him to provide the garage's invoice at today's hearing. While standing in the coffee queue you overhear a conversation between Nathan and his girlfriend which reveals that they have created a false invoice for the purposes of the hearing. It is clear to you that you have witnessed an attempt at fraud over a material question of fact. You correctly assess that there is a real prospect you will be unable to maintain your independence in the case as a result. Which ONE of the following statements CORRECTLY represents how you should now proceed? [A] You should withdraw from the case if you can do so without jeopardising the insurance company's interests because you are in possession of confidential information. [B] You should continue to act but may not ask questions of Nathan about the fraud during your cross- examination nor refer to it in your closing speech. [C] You should act in the insurance company's best interests by putting to Nathan in cross-examination the falsity of the invoice and referring to the fraud in your closing speech. [D]You must withdraw from the case so that you can act as a witness in the case. Answer: [D]You must withdraw from the case so that you can act as a witness in the case. Reason: Duty to maintain independence (CD4).
Under rC25, where you have accepted instructions, but one or more of the circumstances set out in Rules rC21.1 to r21.10 arises, you must cease to act and return your instructions promptly. Under rC21.10, where there is a real prospect that you will be unable to maintain your independence you must withdraw from a case. You may not be able to maintain your independence in in a matter in which you are likely to be called as a witness (unless the matter on which you are likely to be called is peripheral or minor in the context of the litigation as a whole and is unlikely to lead to your involvement in the matter being challenged at a later date) (gC73) In this case and on these facts it would not be possible for you to maintain your independence. You must therefore withdraw. You are representing David and Martha, a father and daughter, who are the two Claimants in proceedings arising from a road accident in which both were injured. David was driving Martha to a dance class when their car came into collision with a van driven by Brad. You drafted the pleadings and have met them in conference. Their instructions are identical on all matters of fact in issue. Witness statements have just been exchanged, and you are reading one made by Brad. He alleges that when the vehicles collided, David had a mobile phone pressed to his ear and was looking through his side window, rather than keeping his eyes on the road. This is the first time that this point has been raised. When you discuss this with David, he completely denies these allegations. You then speak to Martha who says she is pretty sure that her father was using his phone at the time of the crash but insists that he had his eyes on the road at all times. She is adamant that his use of the phone in no way caused the collision. Which ONE of the following statements is CORRECT? [A] You may continue to represent both David and Martha. [B] You may continue to represent either Martha or David if you can do so without breaching client confidentiality and can continue to represent the best interests of the client you retain, but may no longer represent both of them.
Charles is a self-employed commercial barrister. He receives a complaint from a former client which, amongst other allegations, implicates him in a serious criminal offence. Charles immediately takes legal advice from an independent lawyer on his own legal position. The complaint has also been sent to the BSB which commences its own investigation. The BSB serves Charles with a Legal Services Act 2007 notice for production of all documents relating to the complaint. Which ONE of the following statements concerning Charles's disclosure duties is CORRECT? [A] Charles is not required to disclose material relating to the legal advice he received on his own legal position. [B] Charles is not required to disclose client information that is subject to legal professional privilege. [C] Charles must promptly disclose any documentation in his possession that may reasonably be said to relate to the complaint. [D]Charles is not required to disclose any material in response to the notice if to do so would hamper his ability to defend himself against the complaint. Answer = [A] Charles is not required to disclose material relating to the legal advice he received on his own legal position. Reason: Duty to be open and co-operative with your regulators (CD9). Under rC64 you must promptly provide all such information to the Bar Standards Board as it may, for the purpose of its regulatory functions, from time to time require of you; and comply with any notice sent by the Bar Standards Board or its agent. A notice under rC64 refers to a notice under any part of the Legal Services Act 2007 (gC92A). The documents that you are required to disclose pursuant to rC64 may include client information that is subject to legal professional privilege but does not affect your entitlement to withhold from the BSB any material that is subject to your own LPP (such as legal advice given to you about your own position during a BSB investigation) (gC93)
You are prosecuting a Crown Court trial. When the trial breaks for lunch, the defendant is only half-way through his evidence. During the lunch break you pop outside for a breath of fresh air and are surprised to see your opponent, Simon, smoking a cigarette, and talking to the defendant. Which ONE of the following statements about Simon's conversation with the defendant is CORRECT? [A] It is permissible if they are discussing the court's procedural rules only. [B] Simon should not be communicating with the defendant at all. [C] It is permissible if they are discussing matters unrelated to the case only. [D] Simon may discuss any matter with the defendant that will be in the defendant's best interests. Answer = [B] Simon should not be communicating with the defendant at all. Reason: Duty to act with honesty and integrity (CD3). Unless you have the permission of the representative for the opposing side or of the court, you must not communicate with any witness (including your client) about the case while the witness is giving evidence (rC9) Dominic, a self-employed barrister, accidentally leaves his iphone in a nightclub. The phone contains confidential emails and other information concerning highly sensitive case work. This includes personal data relating to his clients. The phone is protected by the easy to guess password 'letmein'. The data on the phone is unencrypted. Dominic is unable to retrieve the phone. The following day he discovers that confidential information from the phone has been posted online. He immediately reports the personal data breach to the Information Commissioner's Office (the 'ICO', the independent regulatory office in charge of upholding information rights) and awaits the outcome of their findings.
Under rC65 you must report promptly to the BSB if you are the subject of any disciplinary or other regulatory or enforcement action by another Approved Regulator or other regulator, including being the subject of disciplinary proceedings. See also Confidentiality Guidance You are a criminal barrister and have accepted instructions to represent Martin Hever at his forthcoming PTPH. Martin has been charged with sexual activity with a child. Prosecuting counsel gives you confidential information about a vulnerable prosecution witness in an off the record 'counsel to counsel' conversation. This information subsequently becomes relevant and helpful to Martin's case. Which ONE of the following options CORRECTLY describes your position in relation to the confidential information you have been provided with? [A] You may not breach the confidential agreement with prosecuting counsel and must therefore cease to act and return your instructions if you can do so without adversely affecting Martin's interests. [B] You may not rely upon the information given to you by prosecuting counsel because it is confidential information relating to a third party. You must therefore cease to act and return your instructions. [C] You may continue to represent Martin. If you do so you should use the confidential information in such a manner as is most likely to result in a not guilty verdict. [D]You must cease to act and return your instructions as your independence has been compromised. Answer = [C] You may continue to represent Martin. If you do so you should use the confidential information in such a manner as is most likely to result in a not guilty verdict. Reason: CD3 You must act with honesty and integrity. CD2 You must act in the best interests of each client.
rC26 You may cease to act on a matter on which you are instructed and return your instructions if you become aware of confidential or privileged information or documents of another person which relate to the matter on which you are instructed. gC83 In deciding whether to cease to act and to return existing instructions in accordance with Rule rC26, you should, where possible and subject to your overriding duty to the court, ensure that the client is not adversely affected because there is not enough time to engage other adequate legal assistance. A is wrong. Confidential 'counsel to counsel' conversations are not protected under the Bar Code of Conduct. B is wrong. You may withdraw for this reason but are not obliged to do so. D is wrong. There is insufficient information on these facts to enable you to conclude that your independence has been compromised. Aneta is a self-employed junior barrister. Her practice largely consists of corporate regulatory work, and she primarily represents banks and other financial institutions. All of her clients pay privately for her representation. Aneta is instructed by a UK based professional client to represent Kunal, a UK citizen who is a prominent anti-corporate activist. Kunal is legally aided, and is suing a large bank, PSBL, for a significant sum of money. Aneta is competent and appropriately insured to carry out this type of work. She has never represented PSBL in the past. The contractual terms and fee arrangements offered by the professional client are satisfactory. Aneta has availability in her diary for the relevant dates. She receives the instructions late on the evening prior to the hearing and quickly realises that it will be impossible for her (or any other suitable, competent advocate) to adequately prepare for the hearing the following day given the complexity of the case. Which ONE of the following statements CORRECTLY describes Aneta's position regarding her instructions to represent Kunal? [A] Aneta may refuse to accept Kunal's case on the ground that he is legally aided, given that her practice centres around privately paying work.
- on the ground that the nature of the case is objectionable to you or to any section of the public;
- on the ground that the conduct, opinions or beliefs of the prospective client are unacceptable to you or to any section of the public; .3 on any ground relating to the source of any financial support which may properly be given to the prospective client for the proceedings in question. A is wrong. The cab rank rule applies. rC21 does not enable barristers to refuse instructions because the client is legally aided. rC28. B is wrong. It will be in Kunal's best interests for Aneta to accept the brief. C is wrong. rC28 This is not a situation on the facts where there is a real prospect that Aneta will be unable to maintain her independence. You represent Mason who is charged with a serious criminal offence. In which ONE of the following situations will you be able to disclose confidential information he has given to you? [A] Mason has given his express and informed consent to you revealing confidential information during a newspaper interview. [B] Mason is charged with another similar offence. The police wish to ask you questions to assist with their enquiries. [C] A Crown Court judge asks you a direct question about a matter that Mason has instructed you on in confidence. You must breach your duty of confidentiality in order to answer the question fully and honestly. [D]You have returned your instructions and ceased to act on Mason's behalf. Answer = [A] Mason has given his express and informed consent to you revealing confidential information during a newspaper interview. Reason: You must observe your duty to the court in the administration of justice (CD1), Duty to act in client's best interests (CD2), Maintaining client confidentiality (CD6).
rC5 Your duty to the court does not require you to act in breach of your duty to keep the affairs of each client confidential. gC22 The ethical obligations that apply in relation to your professional practice generally continue to apply in relation to media comment. Core Duty 6 and Rule C15.5 require you to preserve the confidentiality of your lay client's affairs when commenting to the media and you must not undermine this unless permitted to do so by law or with the express consent of the lay client. gC43 Rule rC15.5 acknowledges that your duty of confidentiality is subject to an exception if disclosure is required or permitted by law. Disclosure in those circumstances would not amount to a breach of CD or Rule rC15.5 In other circumstances, you may only make disclosure of confidential information where your client gives informed consent to the disclosure. rC21 refers to your duty of confidentiality to former clients as well as existing clients. B is wrong. Disclosure of confidential client information to the police is not required or permitted by law. C is wrong. rC5 (although note that you may not mislead the court in order to protect client confidentiality). D is wrong. You owe a continuing duty of confidentiality to your client after the case has ended. Melissa is instructed to represent the defendant in a magistrates' court trial. Her instructing solicitors regularly instruct chambers, and Melissa is keen to make a good impression on them. The evening before the trial, her solicitor calls her to explain that, due to an oversight, he has failed to take a witness statement from a key witness. Nor has the witness been warned to attend court. The solicitor thinks it is unlikely he will be able to get hold of the witness and persuade them to attend court the following morning. He therefore asks Melissa to make an application to adjourn the trial so that the witness can be contacted. He asks Melissa not to tell the court that the witness has not been contacted or warned to attend as this would result in a wasted costs order against the solicitors' firm. In court, Melissa begins to make an application to adjourn. The judge interrupts her, saying, "why hasn't the witness attended?"
B is correct. Melissa has been asked a direct question by the court and must answer truthfully. She must not allow her ability to act independently be compromised by her professional client's request. Her duty to the court takes precedence over her own interests in keeping her professional client happy. C is wrong. Melissa does not owe a duty of confidentiality to her professional client. She should have informed her solicitor of her professional duty not to mislead the court to ensure that he is aware of this eventuality. D is wrong. This answer only serves to waste the court's time. Behzad represents Amelia in a high value, complex piece of commercial litigation. Behzad's standard fee is £500 per hour plus VAT. On this occasion Behzad's clerks have agreed a fixed fee for his services. Amelia is a privately paying client and is extremely grateful to Behzad for the way in which he is dealing with the matter. Which ONE of the following statements CORRECTLY describes Behzad's ability to accept gestures of gratitude from Amelia? [A] Behzad may not accept any gifts, hospitality or loans from Amelia. [B] Behzad may go for a sandwich lunch out with Amelia if he feels it appropriate to do so but must not allow her to pay for his share of the meal. [C] Behzad may accept a loan of £1,000 from Amelia on the condition that it is declared to his chambers and is reflected in his accounts. [D] Behzad may accept an additional payment of £2,000 in addition to the fixed fee to compensate him for a late night he put in on the case recently. Answer = [D] Behzad may accept an additional payment of £2,000 in addition to the fixed fee to compensate him for a late night he put in on the case recently.
Reason: Duty to maintain independence (CD4), Duty to not behave in a way which is likely to diminish the trust and confidence which the public places in you or in the profession (CD5). gC18 Receiving a gift (apart from items of modest value) or accepting any money (whether as a loan or otherwise) from a client may reasonably be seen as compromising your independence unless it is a payment for your professional services or reimbursement of expenses or of disbursements made on behalf of the client. gC19 If you are offered a gift by a client, you should consider carefully whether the circumstances and size of the gift would reasonably lead others to think that your independence had been compromised. If this would be the case, you should refuse to accept the gift. gC20 The giving or receiving of entertainment at a disproportionate level may also give rise to a similar issue and so should not be offered or accepted if it would lead others reasonably to think that your independence had been compromised. A is wrong. Items of modest value may be accepted. B is wrong. Allowing a client to pay for a sandwich in these circumstances would not be deemed 'disproportionate'. C is wrong. Accepting a loan from a client may reasonably be seen as compromising your independence. D is correct. gC18. Payment for professional services in these circumstances will not compromise Behzad's independence. Sarah represents Phil at his Crown Court trial. Phil is a teacher who is charged with assaulting one of his students by punching him in the face. Phil claims to have uncovered an exam cheating scam involving the student. The student became violent when confronted. Phil's actions were in self-defence. Lily is another student who witnessed the assault and will be giving evidence for the prosecution at the trial. Phil instructs Sarah that Lily is also involved in the exam scam and believes this gives her a motive
.c where the allegation relates to a third party, you avoid naming them in open court unless this is reasonably necessary.
- you must not put forward to the court a personal opinion of the facts or the law unless you are invited or required to do so by the court or by law. You are instructed to defend Marcus in the Crown Court. The case is a relatively straightforward one of fraud. Marcus is privately paying. You represent Marcus at his PTPH and have a short conference with him prior to going into court. The case is placed in the warned list. One week after Marcus's PTPH you are instructed to represent Prosper, aged 14, in the youth court. Prosper has been charged with sexually assaulting a younger student at his school. Special measures are in place in relation to the complainant. The prosecution are relying upon expert evidence. You have a lengthy conference with Prosper and prepare for a complex legal application which will take place at the beginning of the trial. A fixed date for the trial has been set. To your dismay and through no fault of your own you discover that Prosper's case and Marcus's case have been listed on the same date the following Monday. You would prefer to take Marcus's case as it is privately paying. Which ONE of the following CORRECTLY sets out your position? [A] You must return Prosper's case and continue to act for Marcus because his case is in the Crown Court. [B] You must return Marcus's case and continue to act for Prosper because his case is in the Youth Court. [C] You may return Prosper's case and continue to act for Marcus because he is your preferred client. [D]You should return Marcus's case and continue to act for Prosper because this is the right decision in all the circumstances of the case. Answer = [D]You should return Marcus's case and continue to act for Prosper because this is the right decision in all the circumstances of the case.
Reason: Duty to act in client's best interests (CD2). rC26.3.a You may cease to act on a matter on which you are instructed and return your instructions if you are a self-employed barrister and a despite all reasonable efforts to prevent it, a hearing becomes fixed for a date on which you have already entered in your professional diary that you will not be available. gC83 In deciding whether to cease to act and to return existing instructions in accordance with Rule rC26, you should, where possible and subject to your overriding duty to the court, ensure that the client is not adversely affected because there is not enough time to engage other adequate legal assistance. Clash of Hearing Dates Guidance: Where an order of precedence is not clear, you should consider your duty to act in the best interests of each of your clients and, in particular, which of your clients is likely to be most prejudiced by alternative representation being arranged at short notice. You should take particular care to consider the needs of vulnerable clients and the impact of your decision on access to justice. You should consider all the relevant circumstances relating to each case including the following issues:
- the length of time that you have been instructed on each case;
- the complexity and difficulty of each case;
- the amount of work you have already done on the case;
- relevant access to justice considerations and the likely impact on your client. A is wrong. The Crown Court does not take automatic precedence over the youth court. The BSB's guidance states at paragraph 6 that some types of hearing may have to take precedence as a matter of law or procedure, and that you "should take direction from the Court and have regard to any relevant case management rules". B is wrong. The youth court does not take automatic precedence over the Crown Court.
Reason: Duty to act with honesty and integrity (CD3), Duty to not behave in a way which is likely to diminish the trust and confidence which the public places in you or in the profession (CD5). You must report to the Bar Standards Board if you have reasonable grounds to believe that there has been serious misconduct by a barrister (rC66). Reporting Serious Misconduct of Others Guidance: serious misconduct includes assault and harassment. Harassment is defined as including: unwanted conduct that has the purpose or effect of creating an intimidating, hostile, degrading, humiliating or offensive environment for the complainant, or violating the complainant's dignity; and unwanted conduct of a sexual nature. A is correct. Manuela must explain to the pupil that she has a duty to report the matter. She should reassure the pupil that the BSB will treat the matter as sensitively as possible and will not act without first consulting her (Reporting Serious Misconduct Guidance para. 15). B is therefore wrong. C and D are wrong. No such duties arise under the Code of Conduct. Omotola is a self-employed barrister. She is offered an employed position as a project manager in the banking sector and decides to accept the position. Which ONE of the following steps must Omotola take now? [A] She must inform all current clients and each client whom she has represented within the past 12 months of her decision to leave the Bar, providing them with information as to how to contact her should the need arise. [B] She must contact all professional clients for whom she has worked within the past 6 years in order to liaise with them in respect of arrangements to be put in place regarding any future queries or complaints.
[C] She must inform the Bar Standards Board of her decision to leave the Bar and must provide them with a contact address. [D]She must provide the Bar Standards Board with the date of her last day of practice and information as to the arrangements that have been put in place in respect of any current matters. Answer = [C] She must inform the Bar Standards Board of her decision to leave the Bar and must provide them with a contact address. Reason: Duty to take reasonable steps to manage your practice, or carry out your role within your practice, competently and in such a way as to achieve compliance with your legal and regulatory obligations (CD10). rC72 Once you are aware that you (if you are a self-employed barrister or a BSB entity) or the BSB entity within which you work (if you are an authorised individual or manager of such BSB entity) will cease to practise, you shall effect the orderly wind-down of activities, including:
- informing the Bar Standards Board and providing them with a contact address;
- notifying those clients for whom you have current matters and liaising with them in respect of the arrangements that they would like to be put in place in respect of those matters;
- providing such information to the Bar Standards Board in respect of your practice and your proposed arrangements in respect of the winding down of your activities as the Bar Standards Board may require. A is wrong. rC72. B is wrong. There is no such requirement in the Bar Code of Conduct. D is wrong. There is no such requirement in the Bar Code of Conduct. Joshua completed his pupillage last year and has been holding a practising certificate since January of this year. Which ONE of the following statements about his mandatory professional development requirements is CORRECT?
