P
LC: PCR WORKBOOK SECTION A
2022
PCR WORKBOOKSECTION A:
PROFESSIONAL CONDUCT
Sections THE PCR WORKBOOK (divided into Chapters by PAGE
A, B and C topic)
Section A The SRA Codes of Conduct 2019
Chapter 1 Client Care 3
Chapter 2 Equality, Diversity and Inclusion 9
Chapter 3 Conflicts of Interest 21
Chapter 4 Confidentiality and Disclosure 25
Chapter 5 Dispute resolution and proceedings before 31
courts, tribunals and enquiries
Chapter 6 Referrals, introductions and separate businesses 39
Chapter 7 Management of your business 51
Chapter 8 Publicity 59
Chapter 9 Cooperation and accountability 69
Chapter 10 Maintaining trust and acting fairly 75
Law School 1
,SECTION A LPC: PCR WORKBOOK
This page has been left intentionally blank
2 Law School
,P
LC: PCR WORKBOOK SECTION A
2022
PROFESSIONAL CONDUCT AND
REGULATION:
CLIENT CARE
Legal Practice Course
Chapter 1: Client Care
1. Learning Outcomes
Please note terms defined in the handout to Part 1 of PCR Lecture 2 have the
same meaning in this Workbook.
On completion of this Chapter you should:
1. be familiar with CCS 3, CCF 4, and CCS 8 (adopted in 7.1 for Firms)
(Service and competence, client care, costs and complaints);
2. be able to apply the relevant standards in the paragraphs above to given
scenarios, explain why they apply and recommend the appropriate
course of action to take.
2. Commentary
As this part of the Codes was covered in PCR SGS 1, the Chapter of the
Workbook only contains sample multiple-choice questions.
3. Questions
Using the paragraphs referred to in 1 above, please attempt the questions
below. Before attempting the questions, you may wish to re-read paragraphs
4.1 to 4.4 of Part 1 of PCR Lecture 2, which provides further commentary on
these parts of the Codes.
Suggested answers to these questions are on the page immediately following
the last question in this Chapter.
Law School 3
, SECTION A LPC: PCR WORKBOOK
Multiple-choice Questions
Question 1
Which ONE of the following statements is INCORRECT?
[A] A Firm or Authorised Individual should establish and maintain a complaints
procedure.
[B] An individual client should be informed at the time of engaging the Firm or
Authorised Individual, that if s/he complains about the service provided by the
Firm or Authorised Individual, such client has a right to complain to the Legal
Ombudsman („LO‟).
[C] If a client has made a complaint against one of the solicitors in the Firm or an
Authorised Individual and the complaint is not upheld, the Firm or Authorised
Individual should not ordinarily charge the client for the cost of handling the
complaint.
[D] You do not need to inform a client of the right to complain and how complaints
can be made until you become aware that an issue has arisen which you
reasonably believe may lead to the client wanting to make a complaint.
Question 2
Which ONE of the following statements is INCORRECT about competence, when
dealing with either an Authorised Individual or a Firm?
[A] You should ensure that you consider and take into account your client‟s
attributes, needs and circumstances.
[B] You can only act for clients on instructions received directly from the client.
[C] A full client care letter is not required to be sent to every client at the time the
client provides the firm with new instructions.
[D] Client care information does not always have to be provided in writing.
4 Law School
LC: PCR WORKBOOK SECTION A
2022
PCR WORKBOOKSECTION A:
PROFESSIONAL CONDUCT
Sections THE PCR WORKBOOK (divided into Chapters by PAGE
A, B and C topic)
Section A The SRA Codes of Conduct 2019
Chapter 1 Client Care 3
Chapter 2 Equality, Diversity and Inclusion 9
Chapter 3 Conflicts of Interest 21
Chapter 4 Confidentiality and Disclosure 25
Chapter 5 Dispute resolution and proceedings before 31
courts, tribunals and enquiries
Chapter 6 Referrals, introductions and separate businesses 39
Chapter 7 Management of your business 51
Chapter 8 Publicity 59
Chapter 9 Cooperation and accountability 69
Chapter 10 Maintaining trust and acting fairly 75
Law School 1
,SECTION A LPC: PCR WORKBOOK
This page has been left intentionally blank
2 Law School
,P
LC: PCR WORKBOOK SECTION A
2022
PROFESSIONAL CONDUCT AND
REGULATION:
CLIENT CARE
Legal Practice Course
Chapter 1: Client Care
1. Learning Outcomes
Please note terms defined in the handout to Part 1 of PCR Lecture 2 have the
same meaning in this Workbook.
On completion of this Chapter you should:
1. be familiar with CCS 3, CCF 4, and CCS 8 (adopted in 7.1 for Firms)
(Service and competence, client care, costs and complaints);
2. be able to apply the relevant standards in the paragraphs above to given
scenarios, explain why they apply and recommend the appropriate
course of action to take.
2. Commentary
As this part of the Codes was covered in PCR SGS 1, the Chapter of the
Workbook only contains sample multiple-choice questions.
3. Questions
Using the paragraphs referred to in 1 above, please attempt the questions
below. Before attempting the questions, you may wish to re-read paragraphs
4.1 to 4.4 of Part 1 of PCR Lecture 2, which provides further commentary on
these parts of the Codes.
Suggested answers to these questions are on the page immediately following
the last question in this Chapter.
Law School 3
, SECTION A LPC: PCR WORKBOOK
Multiple-choice Questions
Question 1
Which ONE of the following statements is INCORRECT?
[A] A Firm or Authorised Individual should establish and maintain a complaints
procedure.
[B] An individual client should be informed at the time of engaging the Firm or
Authorised Individual, that if s/he complains about the service provided by the
Firm or Authorised Individual, such client has a right to complain to the Legal
Ombudsman („LO‟).
[C] If a client has made a complaint against one of the solicitors in the Firm or an
Authorised Individual and the complaint is not upheld, the Firm or Authorised
Individual should not ordinarily charge the client for the cost of handling the
complaint.
[D] You do not need to inform a client of the right to complain and how complaints
can be made until you become aware that an issue has arisen which you
reasonably believe may lead to the client wanting to make a complaint.
Question 2
Which ONE of the following statements is INCORRECT about competence, when
dealing with either an Authorised Individual or a Firm?
[A] You should ensure that you consider and take into account your client‟s
attributes, needs and circumstances.
[B] You can only act for clients on instructions received directly from the client.
[C] A full client care letter is not required to be sent to every client at the time the
client provides the firm with new instructions.
[D] Client care information does not always have to be provided in writing.
4 Law School
