Professional Responsibility (P1) Question Pack - Questions

1. After an initial consultation, Kareem decides not to take on a potential client’s matter. What should he send to formally conclude the interaction?

  1. A disengagement letter outlining a litigation strategy.
  2. A non-engagement letter stating that no services will be provided.
  3. An invoice for the time spent during the consultation.
  4. A thank-you note with no further clarification.

2. Licensed paralegal Janelle is working with a client who wants their cousin to attend all meetings. What should Janelle do to protect her professional obligations?

  1. Proceed with meetings while keeping the conversation general.
  2. Ask the cousin to sign a nondisclosure agreement.
  3. Obtain informed consent from the client after explaining potential confidentiality risks.
  4. Cancel future meetings until the cousin no longer participates.

3. Mateo is assisting a First Nations client and wants to incorporate culturally informed strategies. According to the Law Society’s guide, what principle should guide Mateo’s approach?

  1. Clients from Indigenous communities must be referred to an Elder.
  2. Cultural neutrality is required for fair advocacy.
  3. Law is not culturally neutral, so clients’ lived experiences must inform practice.
  4. Culturally relevant practices should only be considered during sentencing.

4. What is the main benefit of having a signed written engagement agreement when Fiona accepts a new client retainer?

  1. It confirms that fees will be paid in full by the client.
  2. It outlines the scope of work and ensures expectations are aligned.
  3. It satisfies Law Society marketing guidelines.
  4. It allows the paralegal to delegate tasks to assistants.

5. Under By-Law 7.1, what must paralegal Lionel do when retained to provide legal services?

  1. Record the client’s basic identifying information.
  2. Collect a deposit and open a trust account.
  3. File the retainer with the tribunal.
  4. Confirm the other party’s details before proceeding.

6. Victoria is handling a criminal matter and experiences a severe breakdown in trust with her client. The trial is set to begin in 10 days. Can she withdraw from the case?

  1. No, she must remain on the file until trial concludes.
  2. Yes, if she obtains the client’s written permission.
  3. Only with court approval due to the proximity of the hearing.
  4. Yes, by filing a notice of withdrawal with the tribunal.

7. Georgia is cross-examining a tribunal witness and learns their statement includes a misleading omission. What should she consider under the Rules of Conduct?

  1. Her duty to advocate forcefully.
  2. The risk of being contradicted on appeal.
  3. The obligation not to mislead by omission.
  4. Whether the tribunal judge has raised the issue.

8. Ivan, a licensed paralegal, often works with clients from diverse backgrounds. What quality must he demonstrate to provide effective service?

  1. Cultural competence.
  2. A strict adherence to legal tradition.
  3. Willingness to refer clients elsewhere.
  4. Knowledge of every client’s cultural customs.

9. A client approaches Natalie with a file in an unfamiliar area of law. She believes she could learn quickly but the matter is time-sensitive. What should she do?

  1. Wait until trial to fully understand the topic.
  2. Take the case without discussing the gap in knowledge.
  3. Inform the client and request consent to proceed while developing competence.
  4. Decline the file and refer it to a friend.

10. What obligation continues after a paralegal like Elijah ends a retainer with a former client?

  1. Charging reduced rates in future.
  2. Loyalty to the client’s ongoing position.
  3. Duty of confidentiality.
  4. Avoiding all contact with the client.

11. Sasha is applying for a new role at a paralegal firm. What is she allowed to share during the hiring process to assist with a conflict check?

  1. The names of active or related clients, if necessary for screening.
  2. Copies of previous client invoices.
  3. Full summaries of all previous case files.
  4. No information until employment is finalized.

12. Amelia realizes she is no longer competent to handle a legal matter she initially accepted. What must she do next?

  1. Immediately withdraw in accordance with the Rules.
  2. Assign the matter to a junior staff member.
  3. Complete the file and notify the client later.
  4. Seek retroactive permission from the Law Society.

13. Damian assures opposing counsel that he will deliver disclosure by Friday. On Thursday, he realizes it won’t be ready. What professional rule applies here?

  1. Rule 8 – Marketing.
  2. Rule 2.02 – Undertakings and Trust Conditions.
  3. Rule 3 – Confidentiality.
  4. Rule 4 – Advocacy.

14. A client asks Martina to destroy documents that are subject to ongoing disclosure obligations. What must Martina do?

  1. Follow instructions only if the documents are not important.
  2. Decline to comply and withdraw from the file if necessary.
  3. Notify the tribunal of the client’s intent.
  4. Ask for the request in writing.

15. Ethan needs a medical-legal report to support his client’s case. What must he do before requesting it?

  1. Confirm with the health provider the report is ready.
  2. Obtain verbal permission from the client.
  3. Get written instructions from the client.
  4. Proceed without consent if it’s in the client’s best interest.

16. Avery is considering withdrawing from a retainer because the client hasn’t paid their fees. What must she do first?

  1. Reassign the client to another paralegal in the firm.
  2. Provide written notice and assess whether the withdrawal causes serious prejudice.
  3. Advise the Law Society immediately.
  4. Wait for a court order to confirm withdrawal.

17. Jordan has started receiving court notifications by email. What obligation does he have under the duty of technological competence?

  1. Learn the necessary technology to manage his files effectively.
  2. Delegate all digital communication to his assistant.
  3. Ask the court to send printed copies instead.
  4. Ignore technology unless required by a judge.

18. Sophia is contacted by a prospective client demanding immediate service. She hasn’t screened the matter for scope or conflict. What should she do?

  1. Request payment, then assess the issue later.
  2. Begin drafting documents immediately.
  3. Perform an initial screening to confirm it’s within her scope and free of conflict.
  4. Accept the file and let the client decide how to proceed.

19. Under By-Law 4, what type of matter may a paralegal like Aisha not represent a client in?

  1. A landlord application to the LTB.
  2. A family law dispute in Superior Court.
  3. A traffic ticket under the Highway Traffic Act.
  4. A Small Claims Court contract case.

20. Marcus has agreed to act as both the paralegal and a witness for events in a client’s case. What ethical concern does this raise?

  1. It violates accounting obligations.
  2. It simplifies trial preparation.
  3. It compromises impartiality and is generally not permitted.
  4. It speeds up resolution and improves efficiency.

21. Erin realizes she lacks the skills needed to handle a newly accepted client matter. What should she do according to the Paralegal Rules of Conduct?

  1. Assign the file to her assistant and supervise remotely.
  2. Decline the file or obtain consent to become competent without undue delay.
  3. Learn quietly and let the client assume she’s experienced.
  4. Proceed while making limited recommendations.

22. Gabrielle is asked to take on a file for a client previously represented by another paralegal. What should Gabrielle confirm before accepting the retainer?

  1. That she has time available in her schedule.
  2. That the former licensee has been discharged or has formally withdrawn.
  3. That her fees will be more reasonable.
  4. That the client owns the original documentation.

23. Jamie meets with a prospective client who never signs a retainer. What duty still applies after the meeting?

  1. Duty of confidentiality.
  2. Duty to bill for the consultation.
  3. Duty to return all communications.
  4. Duty to request a reference.

24. Serena is preparing to open a Small Claims Court file. What must she confirm in writing with the client at the outset?

  1. The overall communication plan.
  2. The client’s expectations regarding timing.
  3. The scope of services, retainer terms, and billing arrangements.
  4. The tribunal’s availability.

25. Who is primarily responsible for making policy decisions at the Law Society of Ontario?

  1. Paralegal instructors.
  2. Benchers.
  3. Provincial court judges.
  4. Staff of the Ministry of Justice.

26. At the end of a retainer, what must paralegal Henry do with the client’s file?

  1. Keep all copies for seven years.
  2. Return original documents and safeguard any unclaimed items.
  3. Submit the file to the Law Society.
  4. Destroy all contents unless otherwise requested.

27. Taylor receives a letter from the Law Society requesting a response to a complaint. She believes the claim is unfounded. What must she do?

  1. Respond fully and promptly.
  2. Refuse until legal counsel advises.
  3. Ignore the first communication.
  4. Let the client reply directly.

28. While acting as a mediator, Morgan tells one party how to interpret a clause in their lease. What ethical concern arises here?

  1. The comment could be biased.
  2. It may constitute legal advice.
  3. It confuses the mediation process.
  4. It breaches confidentiality.

29. What should André consider when forming a theory of the case?

  1. A narrative combining facts and law that supports the client’s position.
  2. The appearance of the client at hearings.
  3. Whether to avoid examining certain evidence.
  4. The tribunal’s scheduling practices.

30. Leo incurs a $2,000 fee for an expert witness without consulting the client. What should he have done first?

  1. Discussed the cost in advance and obtained approval.
  2. Paid and documented it privately.
  3. Sent the invoice to the opposing party.
  4. Filed it with his own expense report.

31. In what situation may paralegal Liam disclose client confidentiality without consent or a court order?

  1. If the client misses several deadlines.
  2. To defend against allegations of professional misconduct.
  3. When the file has been inactive for six months.
  4. If the client’s family requests updates.

32. Jordan discovers a fellow licensee has taken trust funds from a client account for personal use. What is he required to do under the Rules?

  1. Confront the licensee and try to resolve it quietly.
  2. Stay silent unless the client notices.
  3. Inform the client and suggest alternative legal help.
  4. Report the misconduct to the Law Society in good faith.

33. Maya gives informal legal guidance to someone she meets at a public event. What should she do to avoid creating a paralegal-client relationship?

  1. Offer a discount if they retain her later.
  2. Clarify in writing that she is not providing legal services.
  3. Refer them to the Law Society’s directory.
  4. Ask them to sign a waiver.

34. Taylor is cross-examining a witness who supports her client but was called by the opposing party. What is she prohibited from doing during testimony?

  1. Making notes while they speak.
  2. Asking them to adjust their answer after a break.
  3. Communicating with them privately.
  4. Questioning them about earlier documents.

35. Ethan is asked to take on a case involving the same dispute he once worked on for the other side. What is required for him to accept the new client?

  1. A written declaration from the new client.
  2. A lapse of at least two years.
  3. Permission from the Law Society.
  4. Informed consent from the former client.

36. Natalie is working on a matter where the opposing party is represented by legal counsel. What must she avoid?

  1. Sharing procedural updates.
  2. Contacting that person directly without consent from their lawyer.
  3. Filing documents on their behalf.
  4. Reading their tribunal submissions.

37. Who qualifies as a prospective client under the Paralegal Rules?

  1. Anyone referred by an existing client.
  2. A person seeking advice, even without retention.
  3. Only those who submit payment.
  4. Individuals who complete intake paperwork.

38. Malik agrees to jointly represent two clients whose interests might diverge. What must he do before moving forward?

  1. Get written consent from both clients after advising them that communications won’t be confidential between them.
  2. Create two separate files to protect client information.
  3. Choose which client will take the lead.
  4. Proceed as long as both clients trust him.

39. When may Isabelle accept a referral fee for sending a client to another licensee?

  1. When the client is unaware but happy with the result.
  2. If there is a written agreement and full client disclosure.
  3. Only if the fee is under $500.
  4. Whenever the referred licensee agrees to share revenue.

40. Olivia learns that her business partner owns shares in a corporation involved in her client’s case. What must she do under the Rules?

  1. Stay silent unless questioned.
  2. Remove her partner from the firm.
  3. Disclose the potential conflict and decide whether to withdraw or seek consent.
  4. Notify the opposing party.

41. Isabella is setting up her new legal services practice and wants to attract clients. Which of the following would violate the Paralegal Rules of Conduct?

  1. Printing business cards that state, “Paralegal Services for Landlord Disputes.”
  2. Advertising her license number and scope of practice.
  3. Describing her approach as “trusted and community-focused.”
  4. Claiming to be “Ontario’s #1 Paralegal” based on a purchased award.

42. Jamie has been invited to speak on a nonprofit’s legal panel. What must she keep in mind under the Paralegal Rules of Conduct?

  1. Decline the invitation unless it’s approved by the Law Society.
  2. Avoid using legal terminology to remain informal.
  3. Be careful not to create the impression she’s offering legal services.
  4. Make promotional materials available to all attendees.

43. Maya realizes she missed a deadline that may harm her client’s case. What must she do under the Rules?

  1. Tell the client only if asked.
  2. Notify the opposing party.
  3. Promptly inform the client and recommend independent legal advice.
  4. Let the tribunal know but avoid alerting the client.

44. A paralegal discovers that someone with a revoked license is promoting “legal coaching” services from a nearby office. What should they do?

  1. Report the situation to the Law Society and avoid association.
  2. Share the space as long as files aren’t shared.
  3. Refer minor matters to the individual.
  4. Take no action unless a client complains.

45. Before a paralegal can withdraw legal fees from a trust account, which of the following is required?

  1. A handwritten note of approval.
  2. Client has been billed and sufficient funds exist in trust.
  3. Permission from the Law Society.
  4. No fees are outstanding.

46. Liam is retained by a corporation in a litigation matter. Who is his client under the Paralegal Rules of Conduct?

  1. Any director who signs the retainer.
  2. The person providing day-to-day instructions.
  3. The corporation itself.
  4. All senior officers jointly.

47. Ethan is retained by a hesitant client who allows their family member to speak on their behalf in every meeting. What should Ethan do?

  1. Decline the file entirely.
  2. Confirm that the client is not under undue influence.
  3. Direct all communication to the family member.
  4. Continue the meetings but only discuss non-sensitive issues.

Case 1

Farah, a licensed paralegal, is assisting her client, Leo, with a Small Claims Court action involving a home renovation contract. During the process, Leo introduces Farah to his cousin, Raj, who also wants to sue the same contractor over a similar dispute. Leo and Raj ask Farah if she can represent them both to save time and costs.

Questions 48 to 50 refer to Case 1

48. Before agreeing to represent Leo and Raj jointly, what should Farah do first?

  1. Accept the joint retainer since the clients’ interests seem aligned.
  2. Send a draft claim to both clients for approval.
  3. Conduct a conflict-of-interest check to assess compatibility of representation.
  4. Begin preparing court documents for both claims.

49. During preparation, Raj insists that Farah seek compensation for a cash deposit not mentioned by Leo. What is Farah’s most appropriate next step?

  1. Add the cash deposit to both claims to maintain consistency.
  2. Advise Leo of Raj’s request and confirm if the same claim applies.
  3. Continue representing both clients but file separate claims.
  4. Reassess whether joint representation remains appropriate.

50. If a conflict arises that cannot be resolved, and Farah must cease acting for both clients, what should she do regarding their ongoing legal matters?

  1. Notify the court that she is no longer acting and take no further steps.
  2. Advise each client separately to find new representation and provide their respective documents.
  3. Refer the clients to the same new paralegal for continuity.
  4. File a motion to consolidate their claims before withdrawing.