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FLK 1 - Legal Services > 1. Introduction to Legal Services and the Regulatory Framework for Solicitors > Flashcards

1. Introduction to Legal Services and the Regulatory Framework for Solicitors Flashcards

1
Q

What is the Legal Services Market?

A

Historically dominated by solicitors and barristers, now includes a wider range of providers offering conventional and innovative services.

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2
Q

What factors have contributed to the increased demand for legal services?

A

Globalization, incorporation of EU law, greater affluence, and the internet.

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3
Q

What are some examples of conventional legal services?

A

Face-to-face advice from solicitors and court representation by barristers.

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4
Q

What are some examples of innovative legal services?

A

Online legal document drafting, predictions on case outcomes using technology, online dispute resolution, contract management platforms.

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5
Q

How would you define the scope of ‘legal services’?

A

Broad, ranging from court appearances to basic legal advice.

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6
Q

What are reserved legal activities?

A

Six activities designated by the Legal Services Act 2007 that can only be provided by authorized persons.

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7
Q

What are the six reserved legal activities?

A
  1. Exercising rights of audience, 2. Conducting litigation, 3. Reserved instrument activities, 4. Probate activities, 5. Notarial activities, 6. Administering oaths.
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8
Q

What is the purpose of designating certain activities as reserved?

A

To protect the public interest and regulate higher risk activities.

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9
Q

What is the consequence of carrying out reserved activities without authorization?

A

It is a criminal offense punishable by imprisonment.

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10
Q

What is the Legal Services Board?

A

An independent body established by the Legal Services Act 2007 to oversee the regulation of legal services in England and Wales.

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11
Q

What is the role of the Legal Services Board?

A

To ensure that regulation of legal services is carried out effectively and in the public interest.

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12
Q

What are the functions of the Legal Services Board?

A

Setting standards, overseeing regulators, handling complaints, promoting competition and innovation.

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13
Q

What is the purpose of setting standards?

A

To ensure that legal services are provided to a high standard and in accordance with the law.

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14
Q

What is the purpose of overseeing regulators?

A

To ensure that regulators are fulfilling their duties and responsibilities effectively.

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15
Q

What is the purpose of handling complaints?

A

To provide a mechanism for individuals to raise concerns about the provision of legal services.

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16
Q

What is the purpose of promoting competition and innovation?

A

To encourage a diverse and dynamic legal services market.

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17
Q

What is the role of solicitors in the legal services market?

A

They provide face-to-face advice and handle legal matters for clients.

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18
Q

What is the role of barristers in the legal services market?

A

They represent clients in court and provide specialist legal advice.

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19
Q

What is the purpose of the Legal Services Act 2007?

A

To serve as an overarching regulator for all legal services.

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20
Q

What does the Legal Services Act 2007 do?

A

Approves regulators for different legal professions and ensures they meet objectives.

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21
Q

What is the role of the Legal Services Act 2007?

A

To protect the public interest and oversee legal services regulation.

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22
Q

What powers does the Legal Services Act 2007 have?

A

It can monitor performance, make recommendations, impose penalties, and withdraw approval of a regulator.

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23
Q

What is the responsibility of the Legal Services Act 2007?

A

To oversee and coordinate approved regulators, but not directly regulate providers day-to-day.

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24
Q

Which professions are considered regulated providers?

A

Solicitors, barristers, chartered legal executives, licensed conveyancers, patent attorneys, trademark attorneys, costs lawyers, and notaries.

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25
Q

What is the role of a regulator for a specific profession?

A

To ensure compliance with education/training requirements, code of conduct, practice rights, and disciplinary procedures.

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26
Q

Does regulation only apply to reserved legal activities?

A

No, it applies to all legal services provided.

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27
Q

Who is responsible for ensuring compliance with regulation?

A

Firms must ensure compliance, and individuals are responsible for their own conduct.

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28
Q

Which legal services are regulated separately from the Legal Services Act?

A

Claims management companies, immigration advisers, and insolvency practitioners.

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29
Q

Which authority regulates claims management companies?

A

Financial Conduct Authority.

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30
Q

Which authority regulates immigration advisers?

A

Office of Immigration Services Commissioner.

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31
Q

Which authority regulates insolvency practitioners?

A

Insolvency Practitioners Association.

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32
Q

What are unregulated providers?

A

Providers operating outside reserved legal activities.

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33
Q

What types of services do unregulated providers offer?

A

Services like will-writing, family and employment law advice.

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34
Q

Who are the providers in the unregulated sector?

A

They range from ex-lawyers to law graduates and entrepreneurial businesses.

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35
Q

How do unregulated providers regulate themselves?

A

Many voluntarily self-regulate through codes of conduct, complaint procedures, and insurance requirements.

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36
Q

What is covered in Chapter 2 of the notes?

A

The regulatory role of the SRA.

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37
Q

What is the SRA?

A

The Solicitors Regulation Authority.

38
Q

What does the SRA regulate?

A

Solicitors and their practice.

39
Q

What is the Solicitors Regulation Authority?

A

Independent regulatory body for solicitors in England and Wales.

40
Q

Why was the SRA established?

A

To regulate solicitors and law firms and avoid conflicts of interest.

41
Q

What is the main aim of the SRA?

A

To protect the public by ensuring solicitors meet high standards.

42
Q

What type of regulation does the SRA adopt?

A

Principles-based regulation focused on ethical behavior.

43
Q

Who oversees the SRA?

A

The Legal Services Board.

44
Q

What is risk-based regulation?

A

Focusing resources on areas of greatest risk to protect the public.

45
Q

What factors does the SRA consider in risk-based regulation?

A

Likelihood and impact of issues in firms and across the profession.

46
Q

What is the purpose of risk identification?

A

To proactively address risks before they cause harm.

47
Q

What is expected of firms in managing risks?

A

To actively identify, monitor, and manage risks in their practices.

48
Q

What activities require firm authorization?

A

Reserved legal activities like litigation and document preparation.

49
Q

What types of firms can be authorized by the SRA?

A

Recognized sole practices, recognized bodies, and licensed bodies.

50
Q

What does firm authorization enable?

A

Providing most reserved activities and immigration services.

51
Q

What does the SRA investigate in applicant firms?

A

Suitability to provide legal services to the proper standard.

52
Q

How does the SRA conduct investigations?

A

Risk-based approach, more rigorous for greater weaknesses.

53
Q

What is assessed before an individual is admitted as a solicitor?

A

Character and suitability.

54
Q

What ongoing duty do admitted solicitors have?

A

To disclose any issues that may affect their suitability.

55
Q

What is required for solicitors to work?

A

A practising certificate.

56
Q

What can the SRA do regarding practising certificates?

A

Impose conditions or refuse in the public interest.

57
Q

What can solicitors do with a practising certificate?

A

Provide most reserved legal activities through an authorized firm.

58
Q

Are there exceptions for reserved legal activities outside authorized firms?

A

Yes, limited exceptions exist, such as in-house solicitors advising their employer.

59
Q

What insurance requirements do authorized firms have?

A

They must have professional indemnity insurance meeting SRA minimum requirements.

60
Q

What is the minimum requirement for the sum insured for any one claim?

A

At least £3,000,000 (exclusive of defence costs).

61
Q

Is cover adequacy important for authorized firms?

A

Yes, cover must be adequate and appropriate for the specific firm’s practice.

62
Q

Do freelance solicitors and those in non-commercial bodies have similar insurance duties?

A

Yes, similar duties apply to them.

63
Q

What must firms do regarding their insurance arrangements?

A

They must be transparent with clients about their insurance arrangements.

64
Q

What is Chapter 3 of the Equality Act 2010 about?

A

It is about the protected characteristics.

65
Q

How many protected characteristics are there?

A

There are 9 protected characteristics.

66
Q

What are the 9 protected characteristics?

A

Race, religion or belief, sex, sexual orientation, age, disability, gender reassignment, marriage/civil partnership, pregnancy and maternity.

67
Q

Are all characteristics protected under the Equality Act 2010?

A

No, only the 9 mentioned characteristics are protected.

68
Q

What does the Equality Act 2010 prohibit?

A

It prohibits direct discrimination, indirect discrimination, harassment, victimization, and disability discrimination.

69
Q

What is direct discrimination?

A

Less favorable treatment because of a protected characteristic.

70
Q

What is indirect discrimination?

A

Applying a neutral policy that disadvantages those with a protected characteristic.

71
Q

What is harassment?

A

Violating dignity or creating a hostile environment related to a protected characteristic.

72
Q

What is victimization?

A

Subjecting someone to a detriment because they have made an allegation under the Act.

73
Q

What is disability discrimination?

A

Unfavorable treatment because of something arising from disability.

74
Q

Are there justification defenses available for prohibited conduct?

A

Yes, justification defenses are available in some circumstances.

75
Q

What is indirect discrimination?

A

Potentially justifiable discrimination to achieve a legitimate aim.

76
Q

Can direct discrimination (other than in the context of age) be justified?

A

No, it cannot be justified.

77
Q

What is the duty to make adjustments?

A

The duty to make reasonable adjustments for disabled persons to avoid disadvantage.

78
Q

Who does the duty to make adjustments apply to?

A

It applies to disabled people generally in service provision and to particular disabled individuals in employment.

79
Q

What is the prohibition on service providers?

A

Service providers cannot discriminate, harass, or victimize service users due to a protected characteristic.

80
Q

What is the duty of solicitors in service provision?

A

Solicitors must not discriminate against clients during the provision of legal services.

81
Q

Does the duty to make reasonable adjustments apply to solicitors’ services?

A

Yes, it applies to solicitors’ services.

82
Q

Can firms be held liable for acts of discrimination by employees during service provision?

A

Yes, firms can be vicariously liable for acts of discrimination by employees.

83
Q

What is the prohibition on employers in employment?

A

Employers cannot discriminate, harass, or victimize employees/prospective employees due to a protected characteristic.

84
Q

What is the duty of solicitors’ firms in employment?

A

Solicitors’ firms must not discriminate against their staff.

85
Q

Does the duty to make reasonable adjustments apply to disabled employees/prospective employees?

A

Yes, it applies to disabled employees/prospective employees.

86
Q

Can firms be held liable for acts of discrimination by employees against fellow employees?

A

Yes, firms can be vicariously liable for acts of discrimination by employees.

87
Q

What is positive action?

A

Permitted action in recruitment/promotion to address disadvantage/under-representation if candidates are equally qualified.

88
Q

What is the scope of positive action?

A

Wider positive action is permitted to overcome disadvantage connected to a protected characteristic.

89
Q

What are the professional conduct responsibilities of solicitors?

A

Solicitors must comply with the Act under their professional conduct responsibilities.

90
Q

What do the SRA principles and code require solicitors to do?

A

They require solicitors to address discrimination and promote equality/diversity beyond compliance with the Act.

FLK 1 - Legal Services (4 decks)

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