LPC - Professional Conduct and
Regulation - Exam
Which TWO or MORE of the following statements are WRONG?
A. An undertaking must be in writing to be binding.
B. When a partner in a firm of solicitors gives an undertaking in the course of practice, it will be binding
on the firm as well as the solicitor personally.
C. A statement made by a secretary or paralegal in the course of practice cannot bind the firm as an
undertaking.
D. A statement must use the word "undertake" to be binding as an undertaking. This is to prevent a
solicitor accidentally giving an undertaking when, for example, simply stating that a letter will be posted
in answer to a routine query.
WRONG:
A and B.
A, B and C.
A and D only.
A, C and D. - Answer-A, C and D are all wrong.
, There is no requirement for an undertaking to be in writing. It can be given orally.
A firm will be bound by an undertaking given on behalf of the firm to someone who reasonably places
reliance on it. 'Was it reasonable to rely on it?'.
You do not need to use the word 'undertake' to be bound by a statement made to a third party.
The only true statement is B - an undertaking given by a partner will bind both the solicitor personally
AND the firm.
See Para 1.3 of the Codes.
Which ONE of the following statements about POCA is CORRECT?
A. An authorised disclosure to the nominated officer is a complete defence to any prosecution under
s.328 of POCA.
B. The duty of confidentiality in Para 6.3 of the Codes means that a firm of solicitors is prevented from
giving information about possible money laundering to the authorities if that information relates to a
client's affairs.
C. Litigation does not amount to an arrange for the purposes of s.328 of POCA.
D. POCA only applies to the proceeds of crimes committed in the UK. - Answer-C is the correct
statement. A solicitor engaged in litigation, even if any damages ultimately awarded might be paid from
the proceeds of crime, will not commit an offence under s.238 of the POCA.
A. is wrong as an authorised disclosure is not necessarily a complete defence. For example., if the
authorised disclosure is made before the act takes place, but the solicitor carries on and does the act
before receiving consent from the nominated officer or NCA, then an offence will still be committed.
Regulation - Exam
Which TWO or MORE of the following statements are WRONG?
A. An undertaking must be in writing to be binding.
B. When a partner in a firm of solicitors gives an undertaking in the course of practice, it will be binding
on the firm as well as the solicitor personally.
C. A statement made by a secretary or paralegal in the course of practice cannot bind the firm as an
undertaking.
D. A statement must use the word "undertake" to be binding as an undertaking. This is to prevent a
solicitor accidentally giving an undertaking when, for example, simply stating that a letter will be posted
in answer to a routine query.
WRONG:
A and B.
A, B and C.
A and D only.
A, C and D. - Answer-A, C and D are all wrong.
, There is no requirement for an undertaking to be in writing. It can be given orally.
A firm will be bound by an undertaking given on behalf of the firm to someone who reasonably places
reliance on it. 'Was it reasonable to rely on it?'.
You do not need to use the word 'undertake' to be bound by a statement made to a third party.
The only true statement is B - an undertaking given by a partner will bind both the solicitor personally
AND the firm.
See Para 1.3 of the Codes.
Which ONE of the following statements about POCA is CORRECT?
A. An authorised disclosure to the nominated officer is a complete defence to any prosecution under
s.328 of POCA.
B. The duty of confidentiality in Para 6.3 of the Codes means that a firm of solicitors is prevented from
giving information about possible money laundering to the authorities if that information relates to a
client's affairs.
C. Litigation does not amount to an arrange for the purposes of s.328 of POCA.
D. POCA only applies to the proceeds of crimes committed in the UK. - Answer-C is the correct
statement. A solicitor engaged in litigation, even if any damages ultimately awarded might be paid from
the proceeds of crime, will not commit an offence under s.238 of the POCA.
A. is wrong as an authorised disclosure is not necessarily a complete defence. For example., if the
authorised disclosure is made before the act takes place, but the solicitor carries on and does the act
before receiving consent from the nominated officer or NCA, then an offence will still be committed.
