Leg serv Flashcards
A solicitor works for a charity for elderly people, providing advice to its clients on legal matters including preparing probate documents and court proceedings relating to probate matters. The solicitor believes that he does not have to comply with any Solicitors Regulation Authority requirement for professional indemnity insurance in these circumstances.
Is the solicitor correct in his belief?
Solicitors in non-commercial bodies who are providing reserved legal activities must ensure that the body takes out adequate and appropriate professional indemnity insurance.
Reserved legal activities include probate activities, such as preparing probate papers or court documents related to probate proceedings. Here, the solicitor is carrying out a reserved legal activity (probate activities) and therefore must ensure the charity has taken out adequate and appropriate insurance cover
An unemployed man is involved in a housing dispute with his landlord. The man approaches a solicitor as to whether the solicitor may represent them and have their costs funded by Legal Aid.
Will the client be eligible for legal aid?
The client may be eligible for Legal Aid on the basis housing disputes are covered, but they will need to qualify under a means test and pass a merits test.
Civil Legal Aid is available only in a limited number of specific situations, such as for housing disputes, family, or debt issues.
To secure Legal Aid funding, the client must satisfy both a financial eligibility (means) test and a merits test (that is, the claim must have good prospects for success). Note that even if eligible, the client might still have to make a partial contribution toward costs
A solicitor facilitated a client’s purchase of a house in Paris. It turns out the house was purchased with proceeds from the client’s sale of illegal drugs. The solicitor is concerned they might have committed the offence of concealing under the Proceeds of Crime Act 2002 (‘POCA’).
What must be the solicitor’s necessary mental state to have committed the offence of concealing under POCA?
The necessary mental state for the solicitor to have committed the offence of concealing under POCA is that the solicitor must have actually known or suspected the purchase money represented a benefit from criminal conduct. To be guilty of the offence of concealing, the offender has to subjectively know or suspect that the criminal property represents a benefit from criminal conduct
(The objective test is used in relation to the indirect offence of failure to report)
What must an employer show to justify a discriminatory policy?
to justify a discriminatory policy, an employer must show that the action is a proportionate means of achieving a legitimate aim
A woman is selling a house and her estate agent has suggested she does not need to instruct any legal advisors because the estate agent himself can prepare all the necessary documents, such as the contract for sale of the land. The estate agent is not a member of Solicitors Regulation Authority nor any Legal Services Board regulator.
Which of the following best describes whether the estate agent is correct?
The preparation of any instrument relating to real or personal estate, including the contract for sale of land, is a reserved legal activity (specifically, reserved instrument activities) which can be carried out only by someone authorized by a Legal Services Board regulator
A solicitor is bringing a claim against her firm for direct discrimination on the grounds of age because she was passed over for promotion due to being too young.
Can the firm seek to justify the age discrimination under the Equality Act 2010?
Direct discrimination on the grounds of age can be justified if the firm can show it used proportionate means to achieve a legitimate aim. Generally, there is no justification for direct discrimination, but the exceptions to this are age and disability discrimination.
Note that for age discrimination, the legitimate aim must have some wider public policy implications rather than just being focused on the business’s needs.
For how long must a firm keep records of an MLRO’s investigation?
5 years
A solicitor is looking after the files of a colleague while the colleague is on holiday. The solicitor takes a call from one of her colleague’s clients who is concerned about the lack of progress on their matter. The colleague’s client wants an urgent update as to why there has been a delay. The solicitor flicks through the file and notices that her colleague has filed a suspicious activity report about the client with the firm’s Money Laundering Reporting Officer (‘MLRO’). The solicitor passes this information on to the client to explain the delay and returns to working on her own clients’ matters.
Which of the following best describes whether the solicitor has committed an offence under the Proceeds of Crime Act 2002 (‘POCA’)?
The solicitor may have committed the offence of tipping off because the disclosure she made might prejudice any investigations into the client. The indirect offence of tipping off can arise where there is a disclosure to a third person that a suspicious activity report has been made to the police, HM Revenue and Customs, the National Crime Agency, or the firm’s MLRO if that disclosure might prejudice any investigation that might be carried out
the mere disclosure of a suspicious activity report to a third party is not sufficient to commit the offence of tipping off. The disclosure must also have the potential to prejudice the investigation (imp to note)
A freelance solicitor with five years’ post-qualification experience is instructed by his client to prepare court papers for a civil litigation matter and to represent the client in court.
Which statement best describes the professional indemnity insurance coverage which the Solicitors Regulation Authority requires the freelance solicitor to have?
A freelance solicitor must take out and maintain adequate and appropriate insurance if they are carrying out reserved legal activities. Reserved legal activities include carrying out notarial services, conducting litigation, and preparing reserved instruments involving property interests
(freelancers don’t need a minimum coverage but MUST have insurance while doing reserved activities)
An experienced solicitor has recently been made the Money Laundering Reporting Officer (‘MLRO’) of her company. She continues to practice as a solicitor whilst performing the duties of MLRO. One of her clients has been transferring large sums of money from Yemen. The solicitor is aware that Yemen has been listed as a high-risk jurisdiction for money laundering, so the activity has aroused her suspicions.
What is the best course of action for the solicitor?
he solicitor’s best course of action is to continue to represent the client and make a report to the National Crime Agency. Within a firm or company, a solicitor’s obligation is to report suspicions of money laundering to the MLRO
(not report to deputy or herself)
What are the exceptions to direct discrimination?
Age and disability
(proportionate means of achieving a legitimate aim)
In a personal injury case, the legal costs payable under a damages-based agreement can be no more than _____
25%
In a non-personal injury case, the legal costs payable under a damages-based agreement can be no more than _____.
50%
(100% for conditional fee arrangement)
What is typically payable by the insurer under an ‘after the event’ insurance policy?
The cost of disbursements such as experts’ reports and court fees.
Costs incurred by the other party if the policy claimant is unsuccessful.
What is the standard of a solicitor’s duty to make adjustments for a disabled employee?
Solicitors must make reasonable adjustments if a disabled employee is at a substantial disadvantage compared to a non-disabled employee
