General

Question 1

Prohibited Referral Fee

Answer 1

Not for criminal charges
Not when publicly funded
Not for death / PI
Have to show for genuine services - not referral

Question 2

Sole organisation where consumers can file legal complaints

Answer 2

Legal Ombudsman

Question 3

Who makes payments out of compensation fund?

Answer 3

SRA (not Law Soc)

Question 4

What is not on its own a disciplinary offence?

Answer 4

Negligence
(But will have breached outcomes - proper standard of service)
Complain to Legal Ombudsman

Question 5

Who refers a case to the Solicitor’s Disciplinary Tribunal (SDT)?

Answer 5

SRA only. Not client.

Question 6

When can a client complain to SRA about a negligent solicitor?

Answer 6

When negligence = gross misconduct

Question 7

Complaints Procedure

Answer 7

1) Firm internal procedure - 8 weeks to resolve
2) LO (£400)
3) SRA (cannot fine - less serious matters) Refer to SDT.
4) SDT - cannot award compensation
> can be appealed to high court

Question 8

Who can complain to Legal Ombudsman?

Answer 8

individuals, small businesses, charities clubs & trusts. Not big businesses.

Question 9

How long does firm have to resolve before client can go to LO?

Answer 9

8 weeks

Question 10

COLP

Answer 10

Compliance officer for legal practice
ensure firm complies with code & SRA regs
report failures to SRA

Question 11

To be a COLP?

Answer 11

Lawyer
manager / employee
approved by SRA
Sufficient seniority & responsibility

Question 12

COFA

Answer 12

Compliance officer for finance & admin
ensure comply with accounts rules
report failures to SRA

Question 13

To be a COFA?

Answer 13

manager / employee
approved by SRA
Sufficient seniority & responsibility
DOESNT NEED TO BE A LAWYER

Question 14

Can be both COFA & COLP?

Answer 14

Yes

Question 15

‘Qualified to supervise’

Answer 15

12 hours of SRA courses
practising for 36 months of the last 10 years
Need to be a lawyer
ABS need one lawyer manager to supervise

Question 16

Supevision of client matters

Answer 16

Not the same as qualified to supervise
Do not need to be legally qualified
Suitable experience, knowledge & competence

Question 17

Client Care Letters

Answer 17

Not mandatory but recommended
Set out T&Cs
Must communicate some things in writing i.e. right to make a complaint and how complaint can be made
Written complaints procedure
Be specific on service & costs incl. disbursements
Provided ASAP post receipt of instructions
Name & status of person and their supervisor
Explain responsibilities

Question 18

When can solicitor terminate?

Answer 18

Limited grounds to terminate - should see case through to end
Client can terminate at any time
Must treat clients fairly
Can terminate when:
would break law / breach code
client failed to pay

Question 19

Steps when instructed by new client

Answer 19

1) Open new client file
2) Send CCL - ch 1
3) Conflicts check - ch 3
4) CDD - AML Regs 07 (if applicable)

Question 20

When should indemnity insurers be notified when you are aware of possible claim against firm?

Answer 20

Immediately O(10.1)

Question 21

SRA’s powers:

Answer 21

order refund of costs
restrict practising cert
institute proceedings before SDT
only £ power - refund

Question 22

SDT’s powers:

Answer 22

impose fine
award costs
NOT comp - only a court can do that
strike off
suspend
reprimand