3. Legal Services

Question 1

What does the Legal Services Board do?

Answer 1

Regulates all lawyers in England and Wales

Question 2

What does the Solicitor’s Regulation Authority do?

Answer 2

Regulates solicitors, law firms and individuals who work for businessess authorised by the SRA.

Question 3

What does the Bar Standards Board do?

Answer 3

Regulates Barristers

Question 4

What does the Chartered Institute for Legal Executives do?

Answer 4

Regulates Legal Executives

Question 5

What does the Council for Licensed Conveyancers do?

Answer 5

Regulates Licenced Conveyancers

Question 6

What does the Costs Lawyers Standards Board do?

Answer 6

Regulates Costs Lawyers

Question 7

Who can a client complain to?

Answer 7

• Law firm
• Legal ombudsman
• SRA
• Solicitors disciplinary tribunal

Question 8

How do complaints to a Law Firm work?

Answer 8

The SRA requires that every law firm has a complaints procedure.

If a client is unhappy with the service, the first step should be to follow the law firm’s complaints procedure.

Question 9

How do complaints to the Legal Ombudsman work?

Answer 9

If the Law Firm’s internal complaints procedure is exhausted:

• individuals, small businesses, charities, clubs and trusts

can refer complaints about poor service and fees/bills from solicitors to the legal ombudsman (LO).

Question 10

What can the LO require the solicitor to do in terms of a complaint?

Answer 10

• Apologise
• Pay compensation
• Correct or put right an error or an omission
• Take specific action in the interests on the complainant
• Pay for the costs of the complainant
• Limit the firm’s fees

They DO NOT have any powers to discipline or fine a lawyer.

Question 11

How do complaints to the SRA work?

Answer 11

If the client has a complaint that is concerning misconduct, dishonesty or breaches of the SRA’s rules, they can complain to the SRA.

Question 12

What does the SRA have the power to do in terms of a complaint?

Answer 12

• Issue a warning to the firm
• Impose a disciplinary sanction, such as a fine
• Reprimand the solicitor for professional misconduct
• Order the solicitor to repay or refund the whole or part of the costs to the client
• Impose restrictions on a lawyer’s ability to practice
• Institute disciplinary proceedings beoffre the Solicitor’s Disciplinary Tribunal
• Revoke recognition of a firm
• Close down a firm

Question 13

What is the Solicitor’s Disciplinary Tribunal?

Answer 13

An independent statutory body that deals with serious breahes of the SRA’s rule and disciplines solicitors.

Powers:
- Strike solicitor of the roll
- Suspend a solicitor from practice for a fixed or indefinite period
- Reprimand a solicitor
- Impose a fine
- Award costs against a party to proceedings
- Make a restriction order, imposing a restriction on the area in which a solicitor can practice.

They DO NOT have the power to award compensation.

Question 14

What is the Law Society?

Answer 14

Represents solicitors in England and Wales to the public.

Supports solicitors in their careers and practice.

Is there to ‘fight your corner’ as a solicitor.

Question 15

What are the SRAs 3 Key Roles?

Answer 15

1. Authorises organisations to provide legal services
2. Sets and Enforces Standards
3. Conducts Disciplinary Matters

Question 16

What services do organisations need to be authorised to provide?

Answer 16

• Reserved legal activities (unless exempt)
• Immigration services (unless regulated by the Office of the Immigration Service (OISC)
• Claims management services (unless regulated by FCA)
• Regulated financial activities (unless regulated by FCA)

Question 17

What can the SRA do to discipline?

Answer 17

• Issue a warning to the firm
• Impose a discipplinary sanction (fine)
• Reprimand the solicitor for professional misconduct
• Order the solicitor to repay or refund the whole or part of the costs to the client
• Impose restrictions on a lawyer’s ability to practice
• Institure disciplinary proceedings before the SDT
• Revoke a recognition of a firm
• Close down a firm

Question 18

What is the SRAs approach to regulation?

Answer 18

A risk-based approach.

‘Want to facilitate a focus on high professional standards rather than simply on compliance with our rules’

SRA publishes a Risk Outlook which identifies key risks facing the lega profession and what can be done to manage those risks.

Question 19

What documents make up the SRA Standards and Regulations?

Answer 19

• SRA Principles
• Code of Conduct for Solicitors, Registered European Lawyers and Registered Forgeign Lawyers (CCS)
• Code of Conduct for Firms (CCF)
• SRA Accounts Rules

Question 20

What are the SRA Principles, in order?

Answer 20

1. Uphold the Rule of Law and proper Administration of Justice.
2. In a way that upholds public trust and confidence.
3. With Independence
4. With Honesty
5. With Integrity
6. In a way to encourage equality, diversity and inclusion.
7. In the best intersts of each client.