1. Introduction to Legal Services and Regulatory Framework for Solicitors

Question 1

What are the s 12 “reserved” areas of legal work which can only be carried out by those authorised or exempt?

Answer 1

1. Exercise of right of audience
2. Conduct of litigation (i.e. issuing proceedings)
3. Reserved instrument activities
4. Probate activities
5. Notarial activities
6. Admin of oaths

Question 2

What body is responsible for overseeing the regulation of all lawyers in England and Wales?

Answer 2

Legal Services Board, who pass on their objectives to the relevant regulator (of which there are 8)

Question 3

Who regulates solicitors?

Answer 3

The SRA

Question 4

What are eligible businesses which can be authorised by the SRA?

Answer 4

Recognised sole practices; recognised bodies (partnerships/ LLPS/ companies); licensed bodies (ABSs)

Question 5

What proportion of LLPs/ partnerships/ companies must be legally qualified in order to be eligible for authorisation by the SRA? What are the additional requirements?

Answer 5

75%

At least 1 manager is a solicitor

Question 6

What Compliance Officers do LLPs/ partnerships/ companies require in order to be eligible for authorisation by the SRA?

Answer 6

Compliance Officer for Finance and Administraion

Question 7

What Compliance Officer do ABSs require in order to be eligible for authorisation by the SRA?

Answer 7

Head of Finance and Administration

Question 8

What is the minimum figure required under the SRA Indemnity Insurance Rules for the policy?

Answer 8

Recognised/ licenses bodies = at least £3 million

All other cases = £2 million

Question 9

What is the SRA requirement regarding terms and conditions of indemnity insurance relating to expiration?

Answer 9

If insurance expires and cannot be renewed, coverage will be extended for a maximum of 90 days if the law firm cannot find a new qualifying policy

Question 10

What are the 9 protected characteristics under the Equality Act?

Answer 10

Race, religion & belief, sex, sexual orientation, age, disability, gender reassignment, marriage/ civil partnerships, pregnancy and maternity

Question 11

What are the three elements of direct discrimination under the Equality Act?

Answer 11

1. Comparator - real or hypothetical person
2. Less favourable treatment than comparator
3. Protected characteristic - must be reason for treatment

Question 12

What is indirect discrimination under the Equality Act?

Answer 12

Where conditions are imposed which apply to everyone, but which have the effect of prejudicing members of a particular group

Question 13

What is victimisation under the Equality Act?

Answer 13

Where A victimises B for either doing, or A believes they have done, a protected act (i.e bringing proceedings under the Equality Act / giving evidence)

Question 14

What is harassment under the Equality Act?

Answer 14

Must be related to a protected characteristic, AND

Be of a sexual nature, OR

Be of a sexual nature or related to gender reassignment or sex and result in less favourable treatment because of the individual’s rejection of or submission to the conduct

Question 15

What are the three requirements under the s 20 duty to make adjustments for disabled persons?

Answer 15

Where:
1. Where a practice puts a disabled person at a disadvantage, or
2. Where a physical feature puts a disabled person at a disadvantage,

Then reasonable steps must be taken to avoid the disadvantage

Or,

3. Where a disabled person would but for the provision of auxiliary aid be put at a disadvantage, then reasonable steps must be taken to provide the auxiliary aid

Question 16

In relation to “substantial disadvantage”, what is “substantial” defined as?

Answer 16

More than minor or trivial (i.e. relatively low threshold)

Question 17

What special provision apply to barristers?

Answer 17

Under s 47, barristers are protected from discrimination by members of chambers or clerks of chambers
in which they are tenants or pupils

Also protected from discriminatory treatment by solicitors instructing them

Question 18

What is positive action?

Answer 18

Actions taken in an attempt to address
the disadvantages suffered by those who share a protected characteristic

Question 19

When can positive action be taken?

Answer 19

1. Firm must reasonably think that positive action is necessary (and show basis for this belief)
2. Action must be proportionate