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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
What is the role of a regulator for a specific profession?
To ensure compliance with education/training requirements, code of conduct, practice rights, and disciplinary procedures.
26
Does regulation only apply to reserved legal activities?
No, it applies to all legal services provided.
27
Who is responsible for ensuring compliance with regulation?
Firms must ensure compliance, and individuals are responsible for their own conduct.
28
Which legal services are regulated separately from the Legal Services Act?
Claims management companies, immigration advisers, and insolvency practitioners.
29
Which authority regulates claims management companies?
Financial Conduct Authority.
30
Which authority regulates immigration advisers?
Office of Immigration Services Commissioner.
31
Which authority regulates insolvency practitioners?
Insolvency Practitioners Association.
32
What are unregulated providers?
Providers operating outside reserved legal activities.
33
What types of services do unregulated providers offer?
Services like will-writing, family and employment law advice.
34
Who are the providers in the unregulated sector?
They range from ex-lawyers to law graduates and entrepreneurial businesses.
35
How do unregulated providers regulate themselves?
Many voluntarily self-regulate through codes of conduct, complaint procedures, and insurance requirements.
36
What is covered in Chapter 2 of the notes?
The regulatory role of the SRA.
37
What is the SRA?
The Solicitors Regulation Authority.
38
What does the SRA regulate?
Solicitors and their practice.
39
What is the Solicitors Regulation Authority?
Independent regulatory body for solicitors in England and Wales.
40
Why was the SRA established?
To regulate solicitors and law firms and avoid conflicts of interest.
41
What is the main aim of the SRA?
To protect the public by ensuring solicitors meet high standards.
42
What type of regulation does the SRA adopt?
Principles-based regulation focused on ethical behavior.
43
Who oversees the SRA?
The Legal Services Board.
44
What is risk-based regulation?
Focusing resources on areas of greatest risk to protect the public.
45
What factors does the SRA consider in risk-based regulation?
Likelihood and impact of issues in firms and across the profession.
46
What is the purpose of risk identification?
To proactively address risks before they cause harm.
47
What is expected of firms in managing risks?
To actively identify, monitor, and manage risks in their practices.
48
What activities require firm authorization?
Reserved legal activities like litigation and document preparation.
49
What types of firms can be authorized by the SRA?
Recognized sole practices, recognized bodies, and licensed bodies.
50
What does firm authorization enable?
Providing most reserved activities and immigration services.
51
What does the SRA investigate in applicant firms?
Suitability to provide legal services to the proper standard.
52
How does the SRA conduct investigations?
Risk-based approach, more rigorous for greater weaknesses.
53
What is assessed before an individual is admitted as a solicitor?
Character and suitability.
54
What ongoing duty do admitted solicitors have?
To disclose any issues that may affect their suitability.
55
What is required for solicitors to work?
A practising certificate.
56
What can the SRA do regarding practising certificates?
Impose conditions or refuse in the public interest.
57
What can solicitors do with a practising certificate?
Provide most reserved legal activities through an authorized firm.
58
Are there exceptions for reserved legal activities outside authorized firms?
Yes, limited exceptions exist, such as in-house solicitors advising their employer.
59
What insurance requirements do authorized firms have?
They must have professional indemnity insurance meeting SRA minimum requirements.
60
What is the minimum requirement for the sum insured for any one claim?
At least £3,000,000 (exclusive of defence costs).
61
Is cover adequacy important for authorized firms?
Yes, cover must be adequate and appropriate for the specific firm's practice.
62
Do freelance solicitors and those in non-commercial bodies have similar insurance duties?
Yes, similar duties apply to them.
63
What must firms do regarding their insurance arrangements?
They must be transparent with clients about their insurance arrangements.
64
What is Chapter 3 of the Equality Act 2010 about?
It is about the protected characteristics.
65
How many protected characteristics are there?
There are 9 protected characteristics.
66
What are the 9 protected characteristics?
Race, religion or belief, sex, sexual orientation, age, disability, gender reassignment, marriage/civil partnership, pregnancy and maternity.
67
Are all characteristics protected under the Equality Act 2010?
No, only the 9 mentioned characteristics are protected.
68
What does the Equality Act 2010 prohibit?
It prohibits direct discrimination, indirect discrimination, harassment, victimization, and disability discrimination.
69
What is direct discrimination?
Less favorable treatment because of a protected characteristic.
70
What is indirect discrimination?
Applying a neutral policy that disadvantages those with a protected characteristic.
71
What is harassment?
Violating dignity or creating a hostile environment related to a protected characteristic.
72
What is victimization?
Subjecting someone to a detriment because they have made an allegation under the Act.
73
What is disability discrimination?
Unfavorable treatment because of something arising from disability.
74
Are there justification defenses available for prohibited conduct?
Yes, justification defenses are available in some circumstances.
75
What is indirect discrimination?
Potentially justifiable discrimination to achieve a legitimate aim.
76
Can direct discrimination (other than in the context of age) be justified?
No, it cannot be justified.
77
What is the duty to make adjustments?
The duty to make reasonable adjustments for disabled persons to avoid disadvantage.
78
Who does the duty to make adjustments apply to?
It applies to disabled people generally in service provision and to particular disabled individuals in employment.
79
What is the prohibition on service providers?
Service providers cannot discriminate, harass, or victimize service users due to a protected characteristic.
80
What is the duty of solicitors in service provision?
Solicitors must not discriminate against clients during the provision of legal services.
81
Does the duty to make reasonable adjustments apply to solicitors' services?
Yes, it applies to solicitors' services.
82
Can firms be held liable for acts of discrimination by employees during service provision?
Yes, firms can be vicariously liable for acts of discrimination by employees.
83
What is the prohibition on employers in employment?
Employers cannot discriminate, harass, or victimize employees/prospective employees due to a protected characteristic.
84
What is the duty of solicitors' firms in employment?
Solicitors' firms must not discriminate against their staff.
85
Does the duty to make reasonable adjustments apply to disabled employees/prospective employees?
Yes, it applies to disabled employees/prospective employees.
86
Can firms be held liable for acts of discrimination by employees against fellow employees?
Yes, firms can be vicariously liable for acts of discrimination by employees.
87
What is positive action?
Permitted action in recruitment/promotion to address disadvantage/under-representation if candidates are equally qualified.
88
What is the scope of positive action?
Wider positive action is permitted to overcome disadvantage connected to a protected characteristic.
89
What are the professional conduct responsibilities of solicitors?
Solicitors must comply with the Act under their professional conduct responsibilities.
90
What do the SRA principles and code require solicitors to do?
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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