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NG Bar Final Professional Ethics study materials
NG Bar Final Professional Ethics study resources

NG Bar Final Professional Ethics practice questions

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Question 1Professional Ethics

A Nigerian legal practitioner is instructed by a client to draft a deed of assignment. Before accepting the brief, the practitioner discovers that the property in question is the subject of a pending suit in which the practitioner's spouse is counsel for the opposing party. What is the most appropriate course of action under the rules of professional conduct?

  1. Accept the brief and refer the client to the spouse for independent advice on the litigation
  2. Accept the brief because the spouse's involvement is in a separate matter and irrelevant
  3. Accept the brief and disclose the relationship to the client only after filing the deed
  4. Decline the brief because a personal interest connected to the spouse's role creates a conflict that could reasonably affect the representation Correct answer.

Explanation

A legal practitioner must not act where a personal or family interest conflicts, or is likely to conflict, with the client's interest, since this compromises the duty of loyalty and confidentiality. The pending suit touches the same property, so the spouse's role creates a real risk of divided loyalty. The prudent and rule-compliant step is to decline and, where appropriate, refer the client to another practitioner.

Question 2Professional Ethics

Which duty best describes a legal practitioner's obligation regarding funds held on behalf of a client?

  1. Client funds must be kept separate from the practitioner's own money and accounted for accurately Correct answer.
  2. Client funds may be pooled with office funds as long as a running total is maintained
  3. The practitioner may apply client funds to settle personal debts provided repayment is prompt
  4. Client funds may be retained as security for future fees without any client agreement

Explanation

Money received for or on behalf of a client is trust property and must be kept distinct from the practitioner's personal and office funds and properly accounted for. Commingling creates a risk of misapplication and is a serious disciplinary matter. Any deduction for fees requires a proper basis, ordinarily client agreement or taxation.

Question 3Professional Ethics

A practitioner is approached by a prospective client who discloses confidential facts about a transaction. The practitioner declines the brief. Later, the opposing party in that same transaction seeks to retain the practitioner. What is the governing principle?

  1. The practitioner may act because no retainer was ever concluded with the first client
  2. The practitioner may act provided the first client is informed of the new retainer in writing
  3. The practitioner may act if the first client consents verbally in the presence of a witness
  4. The practitioner must not act where confidential information from the first consultation could be used to the disadvantage of that person Correct answer.

Explanation

Confidentiality attaches from the moment a prospective client imparts information in the course of seeking legal services, even if no retainer is concluded. Acting for an opposing party in the same or a related matter risks using that information against the person who disclosed it. The practitioner should therefore decline unless the informed consent of the affected person is properly obtained and no prejudice arises.

Question 4Professional Ethics

In relation to communication with a court, which statement reflects the professional duty of a legal practitioner?

  1. The practitioner may correct a misleading statement only if the opposing counsel raises it first
  2. The practitioner may present facts selectively as long as the client approves the approach
  3. The practitioner has a duty to disclose all adverse authorities even if not cited by the opponent
  4. The practitioner must not knowingly mislead the court and must correct any misleading statement promptly Correct answer.

Explanation

A practitioner owes a paramount duty of candour to the court, which includes not knowingly misleading the tribunal and correcting promptly any misleading impression created. This duty overrides the client's instructions where they conflict. It does not require volunteering every adverse authority, but it does forbid deception.

Question 5Professional Ethics

A client offers a practitioner a substantial cash gift after a successful matter, saying it is a token of gratitude and unrelated to the fees already paid. How should the practitioner respond?

  1. Decline the gift or seek guidance, because accepting it may compromise independence and create an appearance of impropriety Correct answer.
  2. Accept the gift only if it is shared with the client's other advisers
  3. Accept the gift because it is voluntary and made after the matter has concluded
  4. Accept the gift and record it as part of the professional fee for the matter

Explanation

A practitioner must protect independence and avoid situations that create the appearance of improper influence. A substantial unsolicited gift from a client can compromise that independence and invite scrutiny. The safe course is to decline or seek guidance from the relevant disciplinary body.

Question 6Professional Ethics

A practitioner is asked to act in a matter in which the practitioner previously acted as a mediator between the same parties on the same dispute. What is the principal ethical concern?

  1. The practitioner may act because mediation is not legal practice and creates no duties
  2. The practitioner may act if both parties confirm in writing that they are content
  3. The practitioner may act because the earlier role was neutral and therefore harmless
  4. The practitioner risks a conflict arising from confidential information received in the mediation and should decline unless all parties give informed consent Correct answer.

Explanation

A mediator receives confidential information and party positions in a neutral capacity, and later acting for one party against another risks using that information unfairly. Informed consent from all parties, given with full knowledge of the implications, is generally required before any later engagement. Without it, the practitioner should decline.

Question 7Professional Ethics

Which of the following best describes the standard of competence expected of a legal practitioner?

  1. The practitioner must guarantee a favourable outcome before accepting a brief
  2. The practitioner must be a specialist in every field of law in which a client seeks advice
  3. The practitioner must possess and maintain the knowledge and skill reasonably required for the matters undertaken Correct answer.
  4. The practitioner need only be competent in the area in which the practitioner was first called

Explanation

Competence means possessing and maintaining the legal knowledge, skill and preparation reasonably necessary for the matter accepted. It is measured against the reasonable practitioner standard, not perfection or guaranteed results. A practitioner who lacks the necessary competence should decline or obtain the assistance needed.

Question 8Professional Ethics

A practitioner discovers that a client has given false evidence in an affidavit already filed. What is the practitioner's proper course of action?

  1. Amend the affidavit quietly to remove the false statement without informing anyone
  2. Withdraw from the case immediately without any further step
  3. Continue the case silently to protect the client's confidence
  4. Advise the client to correct the falsehood and, if the client refuses, take steps to withdraw and disclose the situation to the court as necessary Correct answer.

Explanation

A practitioner must not participate in misleading the court and must act to correct an untrue statement already before it. The first step is to advise the client to correct the record; if the client refuses, the practitioner must withdraw and take appropriate steps to disclose the situation to the court. Silence would make the practitioner complicit in the deception.

Question 9Professional Ethics

A practitioner is engaged by two clients who are co-defendants in a criminal matter with potentially conflicting defences. What should the practitioner do?

  1. Represent both clients but obtain a written promise from each not to disclose anything to the other
  2. Represent both clients and keep each client's information confidential from the other
  3. Represent both clients because co-defendants always share a common interest
  4. Assess whether a conflict exists and, if so, decline to act for both unless informed consent is properly obtained and no prejudice results Correct answer.

Explanation

Joint representation is permissible only where the clients' interests are aligned or any conflict is properly identified and consented to with full knowledge. Where defences may diverge, the practitioner must decline to act for both to avoid divided loyalty. A written promise of non-disclosure does not remove the underlying conflict.

Question 10Professional Ethics

Which statement correctly describes the practitioner's duty regarding client communication?

  1. The practitioner may delegate all client communication to an unqualified clerk without supervision
  2. The practitioner may withhold all updates until the matter is concluded to save costs
  3. The practitioner must keep the client reasonably informed and respond to reasonable requests for information Correct answer.
  4. The practitioner need only communicate when the client pays an additional fee

Explanation

A practitioner has a duty to keep the client reasonably informed about the status of the matter and to respond to reasonable enquiries. This supports the client's ability to make informed decisions. Delegation to staff is permissible only with proper supervision and does not discharge the practitioner's own duty.

Question 11Professional Ethics

A practitioner is offered a brief by a client whose instructions would require the practitioner to mislead the court about the whereabouts of a document. How should the practitioner respond?

  1. Withdraw from the case without advising the client of the reason
  2. Follow the instructions but note the objection in the practitioner's file
  3. Follow the instructions because the client is entitled to direct the conduct of the case
  4. Refuse to mislead the court and advise the client of the limits of permissible instructions Correct answer.

Explanation

The duty to the court is paramount and overrides a client's instructions where they would require deception. The practitioner must refuse and explain the limits of what can be done. Withdrawal may follow if the client insists, but the first step is to advise the client.

Question 12Professional Ethics

A practitioner wishes to advertise legal services. Which statement reflects the proper approach?

  1. Advertising may include a guarantee of winning every case
  2. Advertising is prohibited entirely for legal practitioners
  3. Advertising is permitted provided it is not false, misleading or likely to create an unjustified expectation Correct answer.
  4. Advertising is permitted only through the practitioner's family members

Explanation

Advertising is permissible where it is truthful, not misleading and does not create unjustified expectations about results. The purpose is to protect the public from deceptive marketing while allowing practitioners to make their services known. Claims that guarantee outcomes are improper.

Question 13Professional Ethics

A practitioner is instructed in a matter in which the practitioner has a financial interest in the opposing company through a shareholding. What should the practitioner do?

  1. Proceed and disclose the shareholding only if the client asks
  2. Disclose the interest and decline the brief unless the client gives informed consent after full disclosure Correct answer.
  3. Sell the shares after the matter has concluded
  4. Proceed because a shareholding is a private matter and irrelevant to the retainer

Explanation

A financial interest in an opposing party creates a conflict that may affect the practitioner's independent judgment. Full disclosure and informed consent are required, and where the conflict is significant the practitioner should decline. Disposing of shares after the matter does not address the conflict during it.

Question 14Professional Ethics

What is the proper treatment of a client's confidential information after the retainer has ended?

  1. The duty of confidentiality continues indefinitely unless the client releases the practitioner or disclosure is required by law Correct answer.
  2. The duty of confidentiality ends once the client has paid all outstanding fees
  3. The duty of confidentiality continues only for one year after the retainer
  4. The duty of confidentiality ends when the retainer ends

Explanation

Confidentiality survives the termination of the retainer and continues unless the client gives informed consent to disclosure or the law compels it. Payment of fees is irrelevant to the duration of the duty. The practitioner must continue to guard the information.

Question 15Professional Ethics

A practitioner is asked to act for a client in a matter that is outside the practitioner's area of expertise. What is the appropriate step?

  1. Accept the brief and learn on the job without informing the client
  2. Accept the brief and conceal the lack of expertise to avoid alarming the client
  3. Decline the brief or obtain the client's informed consent to referral or to working with a competent colleague Correct answer.
  4. Accept the brief and refer the client to a specialist only if a problem arises

Explanation

Competence requires that a practitioner not accept work beyond their competence without a proper plan to become competent or to associate a competent colleague. The client must be informed and consent to any referral or collaboration. Concealing a lack of expertise is a breach of the duty of candour to the client.

Question 16Professional Ethics

A practitioner receives a court order requiring disclosure of documents that include a client's confidential information. What is the correct approach?

  1. Disclose only the documents the practitioner considers harmless
  2. Ignore the order to protect the client's confidence
  3. Destroy the documents before they can be disclosed
  4. Comply with the order, since a legal requirement to disclose overrides confidentiality, and inform the client where possible Correct answer.

Explanation

Confidentiality yields to a legal requirement to disclose, such as a court order, though the practitioner should ordinarily inform the client and take any available steps to protect the information. Ignoring the order or destroying documents would be contempt or obstruction. The practitioner must comply with the law.

Question 17Professional Ethics

A practitioner is approached by a client who wishes to pay a fee in cash and asks for no receipt. What should the practitioner do?

  1. Agree to the request because the client's privacy must be respected
  2. Agree but keep a private note of the payment
  3. Refuse the cash and insist on payment only by bank transfer in all circumstances
  4. Issue a proper receipt and record the payment in accordance with the rules on client funds and anti-money-laundering obligations Correct answer.

Explanation

Practitioners must keep proper records of money received and issue receipts, and must comply with anti-money-laundering obligations. A request to avoid records is a warning sign that should not be accommodated. Proper documentation protects both the client and the practitioner.

Question 18Professional Ethics

Which of the following is the most accurate description of the practitioner's duty when a client admits guilt but insists on pleading not guilty?

  1. The practitioner must withdraw immediately in every case
  2. The practitioner may put the prosecution to proof but must not assert the client's innocence as a fact known to be false Correct answer.
  3. The practitioner must inform the court of the client's admission
  4. The practitioner must refuse to attend the trial

Explanation

A practitioner may defend a client who insists on pleading not guilty by putting the prosecution to proof, but must not advance a positive case that the practitioner knows to be false. The practitioner cannot disclose the client's admission without consent. Withdrawal is not automatic and should be considered only in accordance with the rules.

Question 19Professional Ethics

A practitioner is asked by a client to hold a document in safe custody pending the outcome of a dispute. What is the practitioner's duty?

  1. The practitioner may hand the document to the opposing party without informing the client
  2. The practitioner must keep the document safe and return it on demand or in accordance with the client's instructions Correct answer.
  3. The practitioner may use the document for personal purposes
  4. The practitioner may destroy the document once the retainer ends

Explanation

Documents entrusted to a practitioner are held for the client and must be kept safe and returned or dealt with according to the client's instructions or the law. A practitioner has no personal right to use or destroy client documents. Unauthorised release to an opponent would breach the duty of care and confidentiality.

Question 20Professional Ethics

A practitioner is considering acting for a client against a former client in a substantially related matter. What is the key test?

  1. Whether the former retainer lasted more than one year
  2. Whether the practitioner possesses confidential information from the former retainer that is relevant to the new matter Correct answer.
  3. Whether the former client has paid all fees
  4. Whether the new client is wealthier than the former client

Explanation

The central concern is whether confidential information obtained in the former retainer could be used against the former client in a substantially related matter. If so, the practitioner must not act without informed consent. Fee payment, wealth and duration of the retainer are not the governing tests.

Question 21Professional Ethics

What is the practitioner's duty when asked to represent a client whose instructions would require the practitioner to break the law?

  1. Follow the instructions and rely on the client to accept responsibility
  2. Refuse to participate in the unlawful conduct and advise the client of lawful alternatives Correct answer.
  3. Follow the instructions but resign after the unlawful act is completed
  4. Follow the instructions because the client is entitled to zealous representation

Explanation

Zealous representation does not extend to assisting unlawful conduct. The practitioner must refuse to participate and should advise the client of lawful alternatives. Relying on the client to bear responsibility does not absolve the practitioner.

Question 22Professional Ethics

A practitioner is asked to act in a matter where the practitioner's own relative is the opposing party. What is the proper approach?

  1. Proceed because family relationships are private matters
  2. Disclose the relationship and decline the brief unless the client gives informed consent, given the risk of divided loyalty Correct answer.
  3. Proceed and disclose the relationship only if the case goes to trial
  4. Proceed and allow the relative to review the client's file

Explanation

A close personal or family relationship with an opposing party creates a risk of divided loyalty and an appearance of impropriety. Full disclosure and informed consent are required, and in most cases the practitioner should decline. Allowing the relative access to the client's file would be a serious breach of confidentiality.

Question 23Professional Ethics

Which statement best describes the practitioner's duty of candour to the client regarding the merits of a case?

  1. The practitioner should avoid discussing weaknesses to preserve client confidence
  2. The practitioner must give the client an honest assessment of the merits, including the risks and weaknesses Correct answer.
  3. The practitioner should promise a favourable outcome to secure the retainer
  4. The practitioner should overstate the merits to encourage the client to proceed

Explanation

Candour requires an honest assessment of the strengths, weaknesses and risks of the client's position so that the client can make informed decisions. Overstating the merits or concealing weaknesses misleads the client. Promising outcomes is improper.

Question 24Professional Ethics

A practitioner learns during a retainer that the client intends to use the practitioner's advice to commit a fraud. What should the practitioner do?

  1. Inform the client's business partners without any further step
  2. Continue to act because the retainer has already begun
  3. Assist the client but keep a record of the advice
  4. Take reasonable steps to dissuade the client and, if the client persists, withdraw and consider whether disclosure is permitted or required Correct answer.

Explanation

A practitioner must not assist a fraud and should first try to dissuade the client. If the client persists, withdrawal is appropriate, and the practitioner must consider whether any disclosure is permitted or required by law. Assistance or unilateral disclosure to third parties is not the proper course.

Question 25Professional Ethics

A practitioner is asked to sign a document prepared by another person that the practitioner has not read. What should the practitioner do?

  1. Sign it because the other person is professionally responsible for its contents
  2. Read and understand the document before signing, since signing implies professional responsibility for its contents Correct answer.
  3. Sign it and rely on the other person's assurance
  4. Sign it only if the client agrees in writing

Explanation

Signing a document carries professional responsibility for its contents, so a practitioner must read and understand it before signing. Relying blindly on another person's assurance is inconsistent with that responsibility. Client agreement does not relieve the practitioner of the duty.

Question 26Professional Ethics

A practitioner is instructed by a client to draft a will that leaves the practitioner a substantial legacy. What is the practitioner's proper course?

  1. Prepare the will and record the client's instructions in a detailed attendance note
  2. Decline to prepare the will and advise the client to obtain independent legal advice from another practitioner Correct answer.
  3. Prepare the will provided the client signs a waiver of any objection to the gift
  4. Prepare the will but disclose the gift to the client's family before execution

Explanation

A practitioner must not draft an instrument in which the practitioner takes a benefit, because the practitioner's personal interest conflicts with the duty to give impartial advice and the gift is vulnerable to challenge. The proper course is to decline and refer the client to an independent practitioner so the client's intention can be tested by someone with no interest in the outcome.

Question 27Professional Ethics

Which statement correctly describes a practitioner's obligation when handling money held on behalf of a client?

  1. Client money must be paid into the practitioner's general business account
  2. Client money may be used temporarily to cover the firm's operating expenses
  3. Client money may be mixed with the practitioner's own funds provided a ledger entry is made
  4. Client money must be held in a separate trust account and accounted for to the client Correct answer.

Explanation

Client money is held on trust and must be kept separate from the practitioner's own funds, with proper records so that it can be accounted for at any time. Using client money for the firm's purposes or mixing it with office funds is a serious breach of fiduciary duty and may amount to misappropriation.

Question 28Professional Ethics

A practitioner is asked to act for a client in proceedings against a company in which the practitioner holds a significant shareholding. What is the proper approach?

  1. Decline the retainer because of the personal interest in the opposing party Correct answer.
  2. Act in the matter provided the client is told after judgment
  3. Act in the matter and disclose the shareholding only if the court asks
  4. Act in the matter because the shareholding is a private investment

Explanation

A practitioner with a material personal interest in an opposing party cannot give undivided loyalty and independent advice, so the retainer should be declined. Disclosure does not cure the conflict because the practitioner's judgment remains affected by the investment.

Question 29Professional Ethics

A practitioner is instructed to act on a matter that the practitioner believes has no reasonable prospect of success. What is the practitioner's duty?

  1. File the claim without comment because the client decides whether to litigate
  2. Withdraw from the retainer without explaining the reasons to the client
  3. Refuse to act unless the client agrees to pay costs in advance
  4. Advise the client candidly on the weaknesses and proceed only if the client gives informed instructions Correct answer.

Explanation

The practitioner must give the client a candid assessment of the merits so the client can make an informed decision, and may act on the client's instructions provided the case is not frivolous or brought for an improper purpose. The practitioner's duty is to advise, not to override the client's decision to litigate.

Question 30Professional Ethics

What is the proper response when a practitioner realises that a document relied on in earlier proceedings was inaccurate in a material respect?

  1. Take no action because the proceedings have already concluded
  2. Wait for the opposing party to raise the point
  3. Advise the client and, if the client consents, correct the record with the court Correct answer.
  4. Destroy the document to avoid future embarrassment

Explanation

A practitioner has a continuing duty of candour to the court, and where material information previously placed before it is shown to be inaccurate the practitioner should take steps to correct the record. The client should be advised first, and the correction made with the client's instructions where possible.

Question 31Professional Ethics

Which statement best describes a practitioner's duty when supervising junior staff on a client matter?

  1. The practitioner may delegate the whole matter and bear no responsibility for the outcome
  2. The practitioner may rely on juniors without checking their work once they are qualified
  3. The practitioner is responsible only for work the practitioner personally signs
  4. The practitioner remains responsible for the work and must ensure it is competently performed Correct answer.

Explanation

A practitioner who accepts a retainer remains professionally responsible for the matter, including work delegated to juniors, and must supervise so that the client receives competent service. Delegation does not transfer the duty of care owed to the client.

Question 32Professional Ethics

A practitioner is asked by a client to provide a second opinion on advice already given by another firm. What is the practitioner's proper approach?

  1. Give an opinion only if the other firm's advice is criticised in writing
  2. Contact the other firm and ask it to withdraw from the matter
  3. Refuse because the client already has a practitioner
  4. Give an independent assessment without disparaging the other firm unnecessarily Correct answer.

Explanation

A practitioner asked for a second opinion should give an honest, independent assessment of the matter while avoiding unnecessary criticism of another practitioner. Professional courtesy requires that disagreement be expressed on the merits rather than by attacking the other firm.

Question 33Professional Ethics

A practitioner is instructed in a matter in which the practitioner's own former client is the opposing party, and the two retainers are unrelated. What is the proper approach?

  1. Act unless confidential information from the former retainer is relevant to the new matter Correct answer.
  2. Ask the former client to consent before the practitioner considers the matter
  3. Act and use information from the former retainer where it helps the new client
  4. Refuse to act in every case where a former client is involved

Explanation

The duty of confidentiality owed to a former client continues after the retainer ends, so the test is whether information from the former retainer is relevant to the new matter. Where no relevant confidential information exists, acting against a former client in an unrelated matter is permissible.

Question 34Professional Ethics

A practitioner receives a request from a client to backdate a letter of advice. What should the practitioner do?

  1. Backdate the letter if the client confirms the advice was in fact given earlier
  2. Refuse to backdate the letter and explain why the record must be accurate Correct answer.
  3. Backdate the letter but keep a private note of the true date
  4. Ask a colleague to sign the backdated letter instead

Explanation

Creating a document that misstates the date on which advice was given is dishonest and could mislead a court or regulator, so the practitioner must refuse. The practitioner should explain that records must accurately reflect when work was done.

Question 35Professional Ethics

Which statement correctly describes the practitioner's duty when a client instructs the practitioner to communicate directly with a party who is represented by another practitioner?

  1. The practitioner should communicate through the other practitioner unless that practitioner consents Correct answer.
  2. The practitioner may communicate directly if the other practitioner is slow to respond
  3. The practitioner may communicate directly because the client has authorised it
  4. The practitioner may communicate directly if the communication is in writing

Explanation

A practitioner should not deal directly with a party known to be represented by another practitioner, because that undermines the other party's representation and risks unfair advantage. Communication should go through the other practitioner unless that practitioner agrees otherwise.

Question 36Professional Ethics

A practitioner is offered a gift by a client in gratitude for a successful outcome. What is the proper approach?

  1. Accept the gift and record it in the client file without further consideration
  2. Accept any gift because refusing would offend the client
  3. Decline gifts that could reasonably be seen as influencing the practitioner's judgment Correct answer.
  4. Accept the gift only if it is given in cash

Explanation

A practitioner must avoid accepting benefits that could reasonably be seen as influencing the professional relationship or creating an obligation. Whether a particular gift is acceptable depends on its nature and value, and the prudent course is to decline anything that could compromise independence.

Question 37Professional Ethics

A practitioner discovers that a colleague in the same firm has been incompetent in handling a client matter. What is the practitioner's proper course?

  1. Ignore the matter because it is the colleague's responsibility
  2. Report the matter through the firm's internal procedures so the client is protected Correct answer.
  3. Take over the file without telling anyone in the firm
  4. Discuss the colleague's failings with the client without raising it internally

Explanation

A practitioner who becomes aware of serious incompetence that may harm a client should raise it through the firm's internal procedures so the client's interests are protected and the issue is properly addressed. Ignoring it or going straight to the client without an internal process risks further harm.

Question 38Professional Ethics

A practitioner is asked to act for a client whose instructions would require the practitioner to break a court order. What is the proper approach?

  1. Advise the client to breach the order but keep the practitioner's role informal
  2. Comply with the instructions because the client is entitled to test the order
  3. Refuse to act in a way that breaches the order and advise the client of lawful options Correct answer.
  4. Seek an adjournment and take no further steps in the matter

Explanation

A practitioner must not assist a client to act in breach of a court order, because doing so would undermine the administration of justice and involve the practitioner in contempt. The proper course is to refuse that instruction and advise the client on lawful ways to challenge or vary the order.

Question 39Professional Ethics

Which statement best describes the practitioner's duty of confidentiality in relation to a client's proposed unlawful conduct that would cause serious harm?

  1. Confidentiality is absolute and can never be overridden
  2. Confidentiality may be overridden to the extent necessary to prevent the serious harm Correct answer.
  3. Confidentiality may be overridden only with the client's written consent
  4. Confidentiality ends as soon as the practitioner suspects any wrongdoing

Explanation

Confidentiality is a strong duty but not an absolute one; where disclosure is necessary to prevent serious harm the practitioner may disclose to the extent required. The disclosure must be limited to what is needed to avert the harm and should be made only after careful consideration.

Question 40Professional Ethics

A practitioner is instructed by a client who lacks the capacity to give clear instructions on a complex transaction. What is the proper approach?

  1. Proceed on the basis of the instructions actually given, however unclear
  2. Decline to act and leave the client without any assistance
  3. Take instructions from a relative without any legal authority to act
  4. Consider whether a substitute decision-maker or representative should be involved Correct answer.

Explanation

Where a client may lack capacity, the practitioner should consider whether a properly authorised representative or substitute decision-maker can give instructions, so the client's interests are protected. Simply proceeding on unclear instructions or abandoning the client are both inappropriate.

Question 41Professional Ethics

A practitioner is asked to act in a matter against a person to whom the practitioner owes a substantial personal debt. What is the proper approach?

  1. Act but disclose the debt to the client after the hearing
  2. Decline the retainer because the personal obligation creates a conflict Correct answer.
  3. Act because the debt is unrelated to the legal matter
  4. Act and ask the opposing party to forgive the debt

Explanation

A substantial personal obligation to the opposing party creates a conflict between the practitioner's own interests and the duty of loyalty to the client, so the retainer should be declined. The conflict exists regardless of whether the debt is connected to the subject matter of the dispute.

Question 42Professional Ethics

Which statement correctly describes the practitioner's duty when a client asks to see the practitioner's file on the matter?

  1. The practitioner should provide the client with the file, subject to proper safeguards Correct answer.
  2. The practitioner may release the file only after the retainer ends
  3. The practitioner should provide only documents the client has already seen
  4. The practitioner may refuse because the file belongs to the firm

Explanation

The client is entitled to the practitioner's file on the matter, because the file is held for the client's benefit and the client has a right to the information in it. The practitioner should provide it, taking care to protect third-party confidential information and to keep any records the practitioner is entitled to retain.

Question 43Professional Ethics

A practitioner is instructed by two clients who wish to buy property together and whose interests may diverge if the purchase fails. What is the proper approach?

  1. Act for one client and refer the other to a different practitioner without explanation
  2. Act for both only after disclosing the potential conflict and obtaining informed consent Correct answer.
  3. Act for both without more because they share the same immediate goal
  4. Act for both and decide any dispute between them in the practitioner's own judgment

Explanation

Acting for more than one client in a joint matter is permissible only where the clients' interests are aligned and any potential conflict has been disclosed and consented to. If a conflict later arises that cannot be managed, the practitioner may have to cease acting for one or both.

Question 44Professional Ethics

What is the practitioner's duty when a client asks the practitioner to draft a witness statement that the practitioner believes overstates the evidence?

  1. Draft it as instructed because the client knows the facts
  2. Ask another practitioner to sign the statement instead
  3. Draft it and note the concerns only in the practitioner's private diary
  4. Advise the client on the evidence and refuse to include statements the client cannot support Correct answer.

Explanation

A practitioner must not draft or present evidence that the practitioner knows or believes to be misleading, and should advise the client on what can properly be said. Concerns should be addressed with the client rather than hidden in a private note or passed to another practitioner.

Question 45Professional Ethics

A practitioner is asked to act in a matter where the practitioner's firm has previously advised the opposing party on a closely related transaction. What is the proper approach?

  1. Accept the retainer and rely on an information barrier that has not been established
  2. Act and use the firm's earlier knowledge to benefit the new client
  3. Act because the earlier advice was given by a different practitioner in the firm
  4. Assess whether the firm holds confidential information relevant to the new matter before accepting Correct answer.

Explanation

Where a firm has previously advised the opposing party, the practitioner must assess whether the firm holds confidential information relevant to the new matter, because the firm's knowledge is imputed to its practitioners. Only if no relevant confidential information is held, or proper safeguards are in place, can the retainer properly proceed.

Question 46Professional Ethics

Which statement best describes the practitioner's duty when a client refuses to provide information the practitioner needs to advise properly?

  1. The practitioner should withdraw immediately without explanation
  2. The practitioner should explain the risks of proceeding without the information and record the advice Correct answer.
  3. The practitioner should advise on the basis of the incomplete information without comment
  4. The practitioner should obtain the information from a third party without telling the client

Explanation

The practitioner should explain why the information is needed and the risks of proceeding without it, so the client can make an informed decision, and should record that advice. Withdrawal is not automatically required, and obtaining information covertly would breach confidentiality and trust.

Question 47Professional Ethics

A practitioner is asked to provide a reference for a former client in unrelated proceedings. What is the proper approach?

  1. Provide the reference because the client requests it
  2. Refuse all references as a matter of professional principle
  3. Provide a favourable reference regardless of the practitioner's actual view
  4. Provide only a reference that is accurate and based on the practitioner's own knowledge Correct answer.

Explanation

A reference is a representation on which others may rely, so the practitioner must ensure it is accurate and honestly reflects the practitioner's own knowledge. Providing a favourable reference contrary to the practitioner's view would be misleading.

Question 48Professional Ethics

A practitioner learns that a client intends to use the practitioner's services to launder the proceeds of crime. What is the proper approach?

  1. Continue acting and keep the client's intention confidential
  2. Cease acting and consider the applicable reporting obligations Correct answer.
  3. Report the client to the media to deter others
  4. Continue acting but avoid handling any money

Explanation

A practitioner must not assist in money laundering, and the duty of confidentiality does not prevent compliance with statutory reporting obligations. The practitioner should cease acting and consider whether the law requires a report to the relevant authority.

Question 49Professional Ethics

Which statement correctly describes the practitioner's duty when a client asks the practitioner to act in a matter the practitioner has no experience of but could research?

  1. The practitioner may accept the retainer if the client accepts the risk in writing
  2. The practitioner may accept the retainer if able to become competent before acting Correct answer.
  3. The practitioner may accept the retainer and learn during the matter
  4. The practitioner must decline every matter outside the practitioner's usual practice

Explanation

Competence is measured against the demands of the particular matter, and a practitioner may accept a retainer outside the usual practice if able to acquire the necessary competence before acting. Learning at the client's expense, or relying on a waiver, does not satisfy the duty.

Question 50Professional Ethics

A practitioner is asked by a client to hold a signed settlement agreement without sending it to the other party until instructed. What is the proper approach?

  1. Clarify the basis on which the agreement is held and confirm it in writing Correct answer.
  2. Hold the agreement indefinitely without any conditions
  3. Follow the client's instructions and inform the other party only if asked
  4. Send the agreement immediately against the client's instructions

Explanation

Where a practitioner holds a document pending instructions, the basis on which it is held should be clarified and recorded so that all parties understand their position. Sending it against instructions or holding it indefinitely without conditions both risk unfairness to one side.