Professional Responsibility sample questions

These questions come from our bank but are not in any of our paid exams. Try each one, then reveal the answer and the explanation.

Question 1

Under By-Law 9, when may an employee who is not a licensee sign a cheque drawn on a paralegal's trust account?

A.In exceptional circumstances, with signing authority and the required bond.
B.Whenever the paralegal has approved that cheque in writing beforehand.
C.Only with written consent from the client whose money is drawn.
D.Only if the Law Society has authorized it in advance.

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Answer: A. In exceptional circumstances, with signing authority and the required bond.

By-Law 9, s. 11(b) provides that a cheque drawn on a trust account shall not be signed by a person who is not a licensee except in exceptional circumstances, and then only if that person has signing authority on the trust account and is bonded for at least the maximum balance on deposit during the licensee's preceding fiscal year in all trust accounts on which signing authority has been delegated to the person. (B) A paralegal's written approval of a particular cheque does not satisfy s. 11(b); outside exceptional circumstances a non-licensee may not sign at all. (C) Beyond exceptional circumstances, s. 11(b) requires signing authority and a bond; client consent is not among its conditions. (D) Prior Law Society authorization under s. 9(2) concerns withdrawing money not listed in s. 9(1), not who may sign a trust cheque.

Question 2

You would like your legal assistant, who is not a licensee, to conduct routine negotiations with an insurance adjuster on a client's Small Claims Court property damage claim. Which is correct under By-Law 7.1?

A.She may negotiate once you give express instruction and authorization.
B.She may with the client's consent; you approve results before acting.
C.She may negotiate if you review her work at frequent intervals.
D.She may not, because negotiating is reserved to licensees.

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Answer: B. She may with the client's consent; you approve results before acting.

By-Law 7.1, s. 5(2) requires you to obtain the client's consent before permitting a non-licensee to conduct routine negotiations with third parties, and to approve the results of the negotiations before any action is taken following from them. (A) Express prior instruction and authorization under s. 5(1) is the condition for giving or accepting undertakings, routine scheduling matters before an adjudicative body and taking client instructions; it does not replace the client's consent that s. 5(2) requires. (C) Reviewing an assistant's work at frequent intervals is a general supervisory duty under s. 4(2)(e), not the condition for negotiations. (D) Section 6(1)(c) bars you from permitting a non-licensee to negotiate with third parties only where s. 5(2) is not followed, so routine negotiations are permitted on its terms.

Question 3

Your client, charged with theft under $5,000 in summary conviction court, wants to accept the Crown's offer of a joint submission on sentence if he pleads guilty, but says he took nothing. Which is correct?

A.You may enter into the agreement on his voluntary instructions.
B.You may, after advising him that the court is not bound.
C.You must withdraw, because he has told you he is innocent.
D.You may not, unless he will admit the offence's elements.

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Answer: D. You may not, unless he will admit the offence's elements.

Rule 4.01(9) of the Paralegal Rules of Conduct lets you enter into a guilty plea agreement with the prosecutor only if, after investigation, you advise the client on the prospects of acquittal and the consequences of the plea, the client is prepared voluntarily to admit the necessary factual and mental elements of the offence, and the client voluntarily instructs you. A client who says he took nothing fails Rule 4.01(9)(c). (A) Voluntary instructions satisfy only Rule 4.01(9)(d); every condition must be met. (B) Advice that the court is not bound by the agreement is required by Rule 4.01(9)(b), but it does not supply the missing admission. (C) Rule 3.08(5) requires withdrawal only on discharge, instructions to breach the Rules or by-laws, or lack of competence; you may continue to defend a client who maintains his innocence.

Question 4

A long-time client, a retired teacher who is not related to you, offers you an unsecured $15,000 loan to expand your practice. She says she will first get independent legal advice. You should:

A.Accept, provided the loan terms are fair and reasonable to her
B.Decline until she has had independent legal advice and consents
C.Decline, as she is not a regulated lender or related person
D.Accept, but only after she retains independent legal representation

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Answer: C. Decline, as she is not a regulated lender or related person

Rule 3.06(2) of the Paralegal Rules of Conduct prohibits you from borrowing from a client unless the client is a regulated lender (a bank, trust company, insurance company, credit union or finance company) or a related person. Your client is an individual who is neither, so you must decline the loan whatever its terms and whatever advice she receives. (A) Fairness to the client under Rule 3.06(1) is a condition of any transaction with a client; it does not lift the bar on borrowing in Rule 3.06(2). (B) The independent legal advice and consent steps in Rule 3.06(4) apply only to a transaction permitted under subrules (1) to (7), not to a loan the Rule forbids. (D) Rule 3.06(4)(b)(i) requires independent legal representation where you lend to a client, not where you would borrow from one.

Professional Responsibility sample questions

Question 1

Question 2

Question 3

Question 4

More Professional Responsibility questions: the Professional Responsibility practice set (40 questions)

Practice sets

Paralegal Practice Set