1. Regulatory Role of the SRA

Question 1

What six activities are considered reserved legal activities?

Answer 1

1. Exercising right of audience
2. Conducting litigation
3. Reserved instrument activities
4. Probate activities
5. Notary activities
6. Administration of oaths

Question 2

When will a person be exempt from the requirement to be authorised to carry out reserved legal activities?

Answer 2

When they are a party to proceedings and would otherwise have the right to conduct litigation in their capacity as a party (i.e. pro se)

Question 3

What is the level of insurance which a firm must have?

Answer 3

Adequate and appropriate insurance

Question 4

In the exam what will give away the fact that higher levels of insurance might be needed?

Answer 4

High value work

Question 5

In what situation will a freelance solicitor require SRA authorisation as a sole practicioner firm?

Answer 5

If they are carrying on reserved legal activities

Question 6

What four conditions must be satisfied for a solicitor to carry on reserved legal activities without being authorised as a sole practitioner firm?

Answer 6

1. Three years PQE
2. Must not hold client money
3. Adequate and appropriate insurance
4. Must notify SRA

Question 7

What must a solicitor carrying out reserved legal activities for a non-commercial body ensure?

Answer 7

That the non-commercial body takes out adequate and appropriate coverage covering not only reserved activities but also any other work done by the solicitor (even though it wouldn’t require insurance but for the reserved activities)

Question 8

When are solicitors prohibited from entering into referral fee agreements with other law firms?

Answer 8

Personal injury or death claims.