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ICSA Foundation > Introduction to Law > Flashcards

Introduction to Law Flashcards

1
Q

What are the benefits of transparency?

A

Enables regulators and stakeholders to hold businesses to account
When businesses know they will be required to disclose certain information they will take steps to ensure they are being lawful and proper
Helps stakeholders make decisions relating to the company

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2
Q

How does the law provide flexibility?

A

Providing businesses with a significant amount of autonomy, ie to make their own laws by writing a contract although statutory law will still still apply
Allowing businesses to draft certain rules by which their business is to be run, via their articles of association which are drafted by incorporated companies

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3
Q

Why is it important that the law remains certain and predictable?

A

Businesses must be able to rely on law that is clear and certain
Laws must evolve and adapt but cannot be changed so frequently that it’s hard to keep up
Clear and predictable law allows for disputes to be resolved quickly and cheaply

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4
Q

What is the law’s view on intermediaries running companies to benefit their own interest?

A

The law requires specified persons to act in the interest of the business
Directors should promote the success of the company for the benefit of its members as a whole

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5
Q

What are the three systems for dispute resolution?

A
  1. Traditional route is to commence legal proceedings in a court which can be costly and lengthy
  2. Case taken to tribunal
  3. Alternative Dispute Resolution mechanisms are more cost effective and help with protecting ongoing business relationships
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6
Q

How does business law try to prevent business failure?

A
  1. By preventing unlawful acts and promoting good governance
  2. The law provides a number of rescue mechanisms for failing businesses (administration, company voluntary arrangements) to try and help struggling companies survive
  3. When business failure cannot be avoided, the law provides a system whereby the businesses can be efficiently concluded
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7
Q

What are the eight purposes of business law?

A
  1. Accountability
  2. Transparency
  3. Flexibility and autonomy
  4. Efficiency
  5. Certainty and predictability
  6. Acting in the business’ interests
  7. Dispute resolution
  8. Preventing disaster and failure
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8
Q

What are the five principle ways that law can be classified?

A
  1. Criminal law and civil law
  2. Common law and civil law
  3. Common law and statue law
  4. Common law and equity
  5. Public law and private law
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9
Q

What is the difference between civil law and common law?

A

Civil law
The legal consequences: compensation, suing
Parties involved: the person who sustained the loss (claimant) sues the person who cause the loss (dependent)
First instance court: County Court or High Court
Burden of proof: on the claim ain’t
Standard of proof: case proved on the balance of probabilities
Outcome: claimant will be ordered a remedy

Criminal law
Legal consequences: prison or fine
Parties involved: the state (denoted by the letter R for Regina (queen) or Rex (king)) prosecutes the defendant
First instance court: Magistrates’ Court or Crown Court
Burden of proof: placed of the prosecution
Standard of proof: beyond reasonable doubt
Outcome: guilty or not guilty

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10
Q

What are the three meanings of common law?

A
  1. Legal system based on England’s
  2. Body of laws and decisions created by judges
  3. System of law that emerged following the Norman Conquest
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11
Q

What are the two meanings of civil law?

A
  1. Laws that do not impose criminal liability

2. Legal systems largely based on Roman law (ie Republic of Ireland and most continental European countries)

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12
Q

What are the features of civil law based on Roman law?

A
  1. Bulk of the law is within written documents called codes
  2. Judiciary’s role is to interpret the law in line with the relevant code, not create law
  3. Place great weight on the decisions of senior judges and do not have a system of bringing precedent
  4. Tend to have career judiciary where judges are trained straight from university
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13
Q

What does statute law refer to?

A

Laws created by parliament, aka legislation

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14
Q

What is equity with regards to common law?

A

Supplementary system of law based upon fairness and justice in the individual case

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15
Q

What are two remedies developed by equity?

A

Injunctions

Specific performance

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16
Q

What is the difference between public and private law?

A

Public laws that regulate relationship between state and persons, ie human rights law
Private laws regulate relationships between people, includes company law, contract law and employment law

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17
Q

What is a court with first instance jurisdiction?

A

A court that hears cases in the first instance

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18
Q

What is a court with an appellate jurisdiction?

A

Court where an appeal is heard

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19
Q

Name the five courts within the criminal case process.

A 
Magistrates’ court
Crown court
Divisional court of the queen’s bench of the high court 
Court of appeal (criminal division)
Supreme Court
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20
Q

Name the four courts included in the civil cases process.

A

County court
High court
Court of appeal (civil division)
Supreme Court

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21
Q

What is interesting about magistrates’ court judges?

A

They are not usually legally qualified
They have a legally qualified clerk to advise on the law
They are aka justices of the peace

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22
Q

What percentage of all criminal cases are heard in a magistrates’ court?

A

95%

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23
Q

How are criminal cases allocated to either the magistrates’ court or the crown court?

A

Based on the type of offence
Summary offences are more minor so will be tried in a magistrates’ court
Offences triable on indictment only are more serious so will be tried in the crown court
Offences triable either way have the potential to be minor or serious so will be tried summarily in a magistrates’ court or on indictment in the crown court

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24
Q

What is the civil jurisdiction of the magistrates’ court?

A

Small
Includes recovery of unpaid council tax and utility bills
Hears appeals from parties relating to local council decisions

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25
Q

Does the County Court hear civil or criminal cases?

A

Only civil cases, most business disputes will be tried here

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26
Q

Which types of judges hear cases at County Court?

A

District or Circuit judges

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27
Q

What is the order of appeals with circuit judges, district judges and the High Court?

A

District judge decisions can be appealed to circuit judges

Circuit judge decisions can be appealed to the High Court

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28
Q

What does CPR stand for?

A

Civil Procedure Rules

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29
Q

What are the three tracks set out in the track system?

A 
Small claims track (£10,000 or less, heard at the County Court)
Fast track (between £10,001 - £25,000, trial will last no longer than one day, oral evidence limited to one expert per party, heard at the County Court)
Multi track (complex claims for larger amounts, heard in the High Court)
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30
Q

What are the four main types of criminal cases heard at Crown Court?

A

Offences triable by indictment only
Either-way offences that have been sent to Crown Court for trial
Sentencing defendants who have been convicted of an either way offence by a Magistrates’ Court
Appeals from those summarily convicted in a Magistrates’ Court

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31
Q

How many judges and people on the jury are generally used for Crown Court cases?

A

Single judge

Jury of 12 people

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32
Q

What are the three reasons for a jury not to be used at Crown Court?

A

In appeals
Where a defendant pleads guilty
Where the case has been sent to Crown Court for sentence

This can also be applied for where there is a risk of jury tampering

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33
Q

Where are most business disputes tried?

A

County Court

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34
Q

Which judges hear cases at County Court?

A

District or Circuit judges (with the latter hearing more complex cases)

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35
Q

What is the process of appeals for County Court hearings?

A

The decision of a district judge can be appealed to a circuit judge
The decision of a circuit judge can be appealed to the High Court
An appeal can go directly to the Court of Appeal if it raises important points of principle of practice

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36
Q

Which are the two major first instance civil courts?

A

County Court and High Court

37
Q

What does CPR stand for in the legal world?

A

Civil Procedure Rules

38
Q

Where are most criminal cases heard?

A

Crown Court

39
Q

Where do appeals for Crown Court go?

A

High Court

40
Q

What are the three divisions of the High Court?

A

Chancery Division
Queen’s Bench Division
Family Division

41
Q

Where are High Court decisions appealed to?

A

Civil Division of the Court of Appeal

Or directly to the Supreme Court if the case involves a point of law importance to the general public

42
Q

What is included in the jurisdiction of the Chancery Division of the High Court?

A

Sale of land
Bankruptcy
Dissolution of partnerships
Contentious probates

43
Q

Which specialist courts exist within the Chancery Division of the High Courts?

A

Patents Court, relating to patents and designs
Intellectual Property Enterprise Court, relating to higher value patents, trade marks and copyright disputes
Companies List, relating to companies (usually insolvent)

44
Q

What is included in the jurisdiction of the Queen’s Bench Division of the High Court?

A

First instance civil claims, especially in contract and tort
Hearing appeals from the decisions of circle judges in the County Court
Hearing criminal appeals by was of case stated from a Magistrates’ Court
Hearing criminal appeals on points of law from the Crown Court
Hearing judicial review cases (alleging that courts or public bodies have acted outside their power)

45
Q

What specialist courts are included in the Queen’s Bench Division of the High Court?

A

Commercial Court, relating to commercial law cases and international trade cases
Technology and Construction Court, relating to building, engineering and surveying disputes
Financial List, relating to complex and high vale (over £50m) cases involving financial markets

46
Q

What are the two divisions of the Court of Appeal?

A

Civil Division and Criminal Division

47
Q

What cases does the Civil Division of the Court of Appeal hear?

A

Appeals from decisions of the High Court
Appeals from decisions of the County Court that raise important points of principle or practice
Appeals from decisions of the Upper Tribunal and Employment Appeal Tribunal
The Court of Appeal can reopen a case if it is necessary to do so

48
Q

Where are decisions of the Civil Division appealed?

A

Supreme Court, once permission has been obtained from the Court of Appeal or the Supreme Court

49
Q

What cases does the Criminal Division of the Court of Appeals hear?

A

Defendants convicted of an indictable offence in the Crown Court
Prosecutors asking for an order to quash a defendant’s acquittal if new and compelling evidence comes to light
When the Criminal Cases Review Commission believes there is a possibility that conviction or sentence would not be upheld were the references to be made
When the Attorney General considers a sentence is unduly lenient

50
Q

Where are appeals of the Criminal Division of the Court of Appeals heard?

A

Supreme Court, once permission has been granted by either the Court of Appeal or the Supreme Court

51
Q

What is the highest court in the UK called?

A

The Supreme Court

52
Q

What was the Supreme Court called before it was replaced in 2009?

A

The Appellate Committee of the House of Lords

53
Q

What does the Judicial Committee of the Privy Council act as?

A

The final appeal court for a number of Commonwealth countries, UK overseas territories and Crown dependencies

54
Q

What are the three categories of criminal offences?

A

Summary offences, Magistrate’s Court, eg failure to keep company registers or board minutes
Offences triable on indictment only, Crown Court, eg false accounting
Offences triable either way, summarily Magistrate’s or indictment in the Crown, eg insider dealing, acting as a director when disqualified

55
Q

What are the three members of a tribunal panel made up of?

A 
A legally qualified chairperson (usually tribunal judge)
Two laypeople (tribunal members, not legally qualified but have subject expertise)
56
Q

Give 5 reasons tribunals are a popular choice over courts.

A
  1. Quicker
  2. Cheaper
  3. More flexible
  4. Easier to go to tribunal than court
  5. Attract less publicity
57
Q

What are the three pillars of the tribunal structure?

A
  1. First-tier tribunal, consists of seven chambers each covering a specific area
  2. Upper tribunal, four chambers that hear appeals from corresponding first-tier chambers
  3. Specialist tribunals, separate from first-tier and upper tribunals, eg Employment Tribunal and Employment Appeal Tribunal
58
Q

Where are appeals from the Upper Tribunal heard?

A

Court of Appeal and, in limited circumstances, directly to the Supreme Court

59
Q

Give four reasons that Alternative Dispute Resolutions (ADR) are preferable.

A
  1. Quicker
  2. Cheaper
  3. More focus on reaching an agreement and saving the relationship
  4. Limits to reputation all damage compared with Court or Tribunals
60
Q

What are the three principle types of ADR?

A
  1. Arbitration
  2. Mediation
  3. Conciliation
61
Q

What is arbitration?

A

Typically involves parties agreeing to refer their dispute to an impartial third party, the arbitrator

62
Q

What are the three ways that arbitration is similar to legal proceedings?

A
  1. Both parties will have later representatives
  2. The decision of the arbitrator is binding and can be enforced by a court order
  3. The decision of an arbitrator can be appealed to a court
63
Q

What is the biggest difference between arbitration and legal proceedings?

A

Arbitration are confidential and not heard in public

64
Q

What is the role of a mediator?

A

Facilitate discussion between parties in an attempt to reach a voluntary and mutually accepted resolution

65
Q

What are the two key benefits and one major disadvantage of mediation?

A
  1. Allows parties to reach a mutually acceptable agreement, rather than an imposed solution
  2. Parties are more likely to be able to continue working together
  3. There is no guarantee that an agreement or decision will be made
66
Q

What is med-arb?

A

A hybrid form of mediation between mediation and arbitration which involves first going to a mediator and then referring to an arbitrator if a decision cannot be made

67
Q

What is the difference between a mediator and a conciliator?

A

Conciliator takes a more active role and proposes solutions, whereas a mediator facilitates dialogue. Conciliation is usually used in a preventative manner.

68
Q

Justices of the Supreme Court hear cases from which courts?

A

Supreme Court and Judicial Committee of the Privy Council

69
Q

Lord/Lady Justices of Appeals hear cases from which court?

A

Court of Appeal

70
Q

High Court judges / deputy High Court judges hear cases from which court?

A

High Court

71
Q

Circuit judges / deputy Circuit judges hear cases from which courts?

A

Crown Court and County Court

72
Q

Recorders hear cases from which courts?

A

Crown Court and County Court

73
Q

District judges / deputy District judges hear cases from which court?

A

County Court

74
Q

Which judge is the UK’s most senior judge?

A

Lord Chief Justice, who also occupies the following roles: President of the Courts of England and Wales; Head of the Judiciary of England and Wales; the Head of the Criminal Justice; President of the Criminal Division of the Court of Appeal

75
Q

What is the President of the Supreme Court responsible for?

A

Administrative running of the Supreme Court

76
Q

What is the Master of the Rolls’ two roles?

A

President of the Civil Division of the Court of Appeal and the Head of Civil Justice

77
Q

How many divisions of the High Court are there, and what are their heads called?

A

The Head of the Chancery Division is called the Chancellor of the High Court, whereas the Heads of the other two Divisions are known as Presidents

78
Q

What are the government’s two chief legal advisors / law officers called?

A

The Attorney General and their deputy, the Solicitor General

79
Q

What are the principle functions of the Attorney General and Solicitor General?

A

Superintending certain agencies
Providing permission to bring certain prosecutions
Representing the government in its important litigation
Referring unduly lenient sentences to the Court of Appeal

80
Q

What is the Director of Public Prosecutions head of?

A

The Crown Prosecution Service

81
Q

What are the three distinct occupations of the UK legal profession?

A

Solicitors
Barristers
Legal executives

82
Q

Which courts can solicitors advocate in?

A

Magistrates’ Court
County Court
(In limited cases) Crown Court

Where a case is due to be heard in a higher court, a solicitor needs to instruct a barrister

83
Q

What are barristers know as upon qualifying?

A

Juniors and tend to remain so throughout their careers

Barristers regarded as having outstanding abilities become Queen’s Counsel

84
Q

What 3 types of work do barristers tend to undertake?

A

Represent clients in court
Provide instructions to solicitors and written opinions to clients
Draft documents for clients

85
Q

A fully qualified Chartered legal executive can undertake reserved legal activities. What 5 activities does this cover?

A 
Exercising rights of audience in court
Conducting litigation
Conveyancing
Probate activities
Administration of oaths
86
Q

What are the four main sources of law that exist in the UK?

A

Legislation
Case law
European Union law
Human rights law

87
Q

What are the two principle types of domestic legislation?

A

Acts of Parliament (aka primary legislation)

Subordinate legislation

88
Q

What are the 5 components of an Act of Parliament?

A

Sections: acts consist of a number of sections
Subsections: lengthier sections are usually divided into these
Parts: larger acts or acts that deal with multiple topics will be made up of a number of parts
Chapters: larger parts are often divided into chapters
Schedules: more detailed rules are found in a series of schedules at the rear of the act

ICSA Foundation (2 decks)

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