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PCR > 2.3 Code of Conduct: Management of the Business > Flashcards

2.3 Code of Conduct: Management of the Business Flashcards

1
Q

What does ABS stand for

A

Alternative business structure

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2
Q

What do ABSs allow for

A

Non-lawyers to share and participate in management of provider of legal services

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3
Q

What can non-lawyers as managers of ABS providing legal services not do

A

Sign client account cheques or be responsible for overall supervision of reserved legal activities

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4
Q

What must non-lawyer manager of legal service ABS pass and when

A

Proper and fit person test if more than 10% stake

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5
Q

Who must be qualified to supervise whole firm

A

At least one ‘lawyer manager’

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6
Q

What requires that at least one ‘lawyer manager’ is qualified to supervise whole firm

A

SRA Practice Framework Rule 12.1

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7
Q

What must a ‘lawyer manager’ supervising whole firm have done to be qualified

A

12 hours training + entitled to practice for 36 months in last 10 years

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8
Q

Who cannot be responsible for overall supervision of reserved legal activities in ABS

A

Non-lawyer

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9
Q

What are ‘reserved legal activities’

A

Conduct of litigation, right of audience, probate activities and most property work

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10
Q

Is there is a need for a firm to have a ‘lawyer manager’ in each office?

A

No

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11
Q

Who can replace a ‘lawyer manager’ or partner if one is ill?

A

Locum

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12
Q

Who can supervise a client file

A

Anyone with sufficient experience and knowing limitations of experience

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13
Q

Does a person supervising a client file need to be legally qualified?

A

No

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14
Q

What Chapter of SRA CoC covers publicity?

A

8

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15
Q

What is included in ‘publicity’

A

All promotional material and activity

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16
Q

What is the key idea underpinning rules on publicity

A

Must not mislead or diminish public trust

17
Q

When can you not publicise a business as having ‘solicitors’ in it under Ch.8

A

If no managers are solicitors

18
Q

What must you do in the advertising if two businesses are jointly marketing services

A

Be clear which officers which service in the advertisement

19
Q

What cannot be included as disbursements for client costs

A

Overheads

20
Q

What restrictions are there on cold calling etc. members of the public

A

Cannot call/visit MoP unsolicited

21
Q

What is the definition of members of the public for Ch.8

A

Includes prospective individual clients, but excludes former/professional connections

22
Q

What info must public be given in advertisements re: regulation

A

How regulated, distinguish if some services are not, and be clear if another regulator regulates some activities (e.g. FCA)

23
Q

Do firms not offering legal services have to comply with rules on publicity?

A

No

24
Q

What changes re: publicity depending on the nature of the business

A

What the business need to publicise about itself, e.g. LLP + C must publicise reg name + number

25
Q

What is a ‘separate business’

A

Not authorised or regulated by SRA, but owned or owns or connected to SRA regulated business

26
Q

Does a ‘separate business’ have to be located separately from law firm?

A

No

27
Q

Can solicitors be managers/employees of a separate business?

A

Yes

28
Q

What must S do if manager/employee of separate business + practising as S

A

Comply w/ Rule 4 SRA Framework

29
Q

When can S NOT be manager/employee of separate business

A

If SB carries out reserved legal activities or immigration work

30
Q

What chapter covers ‘separate businesses’

A

12

31
Q

Why are clients less protected in a separate business

A

Not authorised or regulated by SRA

32
Q

What is the consequence of clients being less protected in a separate business

A

Client must be informed of extent of regulation, and must not represent that regulated by SRA

33
Q

What is needed if referring client to separate business, or dividing work between law firm + SB

A

Client must give informed consent

PCR (6 decks)

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