Complaints

Question 1

Requirements of a COLP?

Answer 1

LAWYER qualified to practise in England and Wales

Manager or employee of the firm or related ‘authorised body’

Designated as the firm’s COLP

Approved by the SRA as the firm’s COLP

Sufficient seniority

Question 2

Requirements of COFA?

Answer 2

Manager or employee

Designated by firm as COFA

Approved by SRA

Sufficient seniority

Question 3

What is referred to the SDT and what are their powers?

Answer 3

Serious allegations of unbefitting conduct

Strike a solicitor off the roll
Suspend a solicitor from practice
Reprimand
Impose a fine

Question 4

SRA’s powers?

Answer 4

Order a solicitor refund costs
Impose restrictions on practising certificate
Reprimand solicitor for professional conduct
Intervene in solicitor’s practice
Institute disciplinary proceedings before the SDT.

Question 5

What tier is the LO?

Answer 5

Two:

complaints only brought by individuals

Question 6

SCF?

Answer 6

solicitors compensation fund : if individual has suffered a loss as a result of dishonesty compensated up to £2million e.g. embezzling funds

Question 7

Third tier?

Answer 7

court action.

Question 8

SRA decision appeals?

Answer 8

Internally or to High Court.