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FLK1 - Legal Practice > Legal regulation > Flashcards

Legal regulation Flashcards

1
Q

Which statute contains the framework for the regulation of legal services?

A

Legal Services Act 2007

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2
Q

What are the two types of legal services?

A

Reserved

Non-reserved

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3
Q

What is the definition of a reserved legal activity?

A

An activity which requires the person to be authorised or exempt.

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4
Q

What are the reserved legal activities? (6)

A

To exercise a right of audience

The conduct of litigation

Reserved instrument activities

Probate activities

Notarial activities

Administration of oaths

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5
Q

What activities fall into the ‘conduct of litigation’ for it to be a reserved activity?

A

Issuing of proceedings

Commencing, prosecuting and defending proceedings

Ancillary functions to those proceedings (e.g. entering appearances to action)

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6
Q

What activities fall into reserved instrument activities?

A

Preparing any instrument of transfer for the purposes of the Land Registration Act

Making/lodging an application for registration under the Land Registration Act

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7
Q

Who authorises an individual to carry out reserved legal activities?

How is a solicitor authorised in this regard?

A

The relevant approved regulator must authorise the individual.

A solicitor is subject to regulation by the SRA in respect of all legal services they provide.

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8
Q

Who is the regulator for barristers?

A

Bar Standards Board

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9
Q

Who is the regulator for legal executives?

A

CILEX Regulations

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10
Q

Who is the regulator for licensed conveyancers?

A

Council for Licensed Conveyancers

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11
Q

Who is the regulator for patent attorneys and trademark attorneys

A

Intellectual Property Regulation Board

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12
Q

Who is the regulator for costs lawyers?

A

Costs Lawyers Standards Board

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13
Q

Who is the regulator for notaries?

A

Master of Facilities

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14
Q

Who is the regulator for chartered accounts?

A

Institute of Chartered Accountants of England and Wales

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15
Q

Who does the Law Society regulate?

A

Solicitors named in the Legal Services Act, but the regulatory function is carried out by the SRA.

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16
Q

When can you determine if an individual is exempt in respect of reserved legal activities?

A

If they are included within the definition under section 19 of the Legal Services Act.

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17
Q

What happens if an individual carries out reserved legal activities and they are neither authorised or reserved?

A

It is a criminal offence and is punishable by 2 years imprisonment.

You can also be held in contempt of court in the context of litigious rights of audience.

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18
Q

Who are the Legal Standards Board?

What are some of their duties?

A

They are responsible for overseeing the regulation of all lawyers in England and Wales.

Promoting and protecting public interest, improving access to justice, supporting the rule of law.

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19
Q

Which work falls outside of the Legal Services Act but requires specific statutory regulation?

A

Claims management companies

Immigration advisers

Insolvency practitioners

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20
Q

Are all legal services regulated? Provide examples.

A

No.

Will writing, family law advice, employment law advice.

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21
Q

What is the SRA’s role in regards to regulation?

A

To control training and admission to the profession

To set standards for ethical behaviour

Frames rules for handling client money

Supervises firms and takes enforcement action where appropriate

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22
Q

What types of businesses are eligible to be authorised by the SRA?

A

A recognised sole practice

A recognised body

A licensed body

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23
Q

What is a recognised sole practice?

A

Someone who chooses to practice alone and is responsible for the firm in its entirety.

24
Q

What is a recognised body?

A

Partnerships

LLPs

Companies

75% of the body’s managers are legally qualified.

25
Q

What is a licensed body?

A

An alternative business structure which may offer legal services alongside non-legal services.

At least one manager in that body must be authorised by the SRA or another approved regulator.

26
Q

What is the authorisation process of the SRA?

A

Checking the eligibility of the firm and carrying out an investigation.

The SRA will carry out a more rigorous process for those identified with weaknesses.

27
Q

What is required to practice as a solicitor?

A

To be admitted as a solicitor

Their name is on the roll of solicitors

They have a practising certificate

28
Q

What are the SRA Character and Suitability rules?

A

The factors which the SRA take into account when assessing an individual’s character and suitability for the profession.

29
Q

What behaviour will the SRA take into account when assessing whether an individual should be admitted?

A

Criminal offences

Other - education establishment offences, avoided responsibility for any debts or they have behaved in a way which is threatening, violent or discriminatory

30
Q

What are the requirements for a practising certificate?

A

The solicitor’s name is on the roll

They have sufficient knowledge of written and spoken English

They are not suspended from practice.

31
Q

What is professional indemnity insurance?

A

Insurance which indemnifies in respect of loss or damage any breach of professional duty.

This includes negligence in the course of practice.

32
Q

What are the specific requirements under the SRA Indemnity Insurance Rules in respect of the type of insurance and the minimum amounts?

A

Must be taken out with an insurer regulated by the FCA and approved by the SRA

Minimum of £3m for recognised bodies and licensed bodies

Minimum of £2m for all other bodies

33
Q

What happens if a firm cannot effect insurance upon renewal?

A

The cover will be extended for 90 days and the firm must inform the SRA.

After 30 days where no cover is found, the firm not must accept not new business.

After 90 days the firm must cease trading.

34
Q

What are the specific requirements about indemnity insurance in relation to clients?

A

It must be made available for clients including details of the insurer and territorial coverage.

Freelance solicitors must inform clients they are not required to meet the minimum terms and conditions.

35
Q

What are the protected characteristics under the Equality Act 2010?

A

Race

Sex

Disability

Pregnancy

Gender reassignment

Religion

Age

Sexual orientation

Marriage/civil partnership

36
Q

What is prohibited conduct under the Equality Act 2010?

A

Direct discrimination
Indirect discrimination
Victimisation
Harassment

37
Q

What is direct discrimination?

Can it be justified?

A

Where a person is treated unfavourably due to a protected characteristic.

It cannot be justified.

38
Q

What is indirect discrimination?

Can it be justified?

A

Where conditions are imposed which apply to everyone but have the effect of prejudicing a particular group with a characteristic.

This can be justified when it is shown it was a proportionate means of achieving a legitimate aim.

39
Q

What is disability discrimination?

Can it be justified?

A

Where a person treats a disabled person unfavourably because of something which arises as a consequence of their disability.

It can be justified when it is shown it was a proportionate means of achieving a legitimate aim.

40
Q

What is victimisation?

A

Where a person subjects another to a detriment because they do a protected act or because they believe they have done a protected act.

Protected acts include bringing proceedings under the Equality Act or making an allegation under the Equality Act.

41
Q

What is harassment?

A

When an individual is subject to specific forms of unwanted conduct which has the effect of violating a person’s dignity or creates a hostile environment.

Unwanted conduct = conduct of a sexual nature or with a gender reassignment that results in less favourable treatment.

42
Q

What are the duties to make reasonable adjustments?

A

Where:

A provision, criterion or practice
Physical feature
Lack of auxiliary aid

puts a disabled person at a disadvantage.

43
Q

How are anti-discriminatory provisions applicable to solicitors?

A

Part 3 of the Equality Act applies the anti-discriminatory provisions to service providers, including solicitors and those providing free or unregulated legal services.

44
Q

What actions can a service provider take against a client that would be considered unlawful under the Equality Act?

A

They cannot victimise by not providing the service, terminating the service or subjecting the user to a detriment.

It also prohibits harassment.

45
Q

What does the Equality Act state in relation to vicarious liability?

Can it be defended?

A

Acts done by an employee are treated as if they done by the employer, even if they were unaware.

The firm can defend this by proving they took reasonable steps to prevent the act.

46
Q

Is protection against anti-discriminatory behaviour applicable in the workplace?

A

Yes - it protects employees and partners from discriminatory actions from their employers.

47
Q

What can’t employers discriminate or victimise their employees against?

A

The terms of their employment

Access to opportunities

Subjecting them to a detriment (if they would feel disadvantaged in the circumstances).

48
Q

When should employers make reasonable adjustments for disabled employees (current/prospective)?

A

When they know or ought to have known about the disability.

49
Q

When should law firms make reasonable adjustments for clients?

A

They ought to anticipate different client’s needs e.g. giving leaflets in various formats for clients with learning difficulties.

50
Q

What steps must an employee take before submitting a claim to the employment tribunal?

A

Submit questions to their employer to determine if they have a claim.

Attempt a conciliation process before submitting to the employment tribunal.

51
Q

What are solicitor’s duties with barristers under the Equality Act?

A

Barristers are protected from discrimination, harassment and victimisation from instructing solicitors.

Solicitors should not let clients influence their decision of barrister based on a protected characteristic.

52
Q

What officers should a licenced body have?

A

They must always have a Head of Finance and Administration and a Head of Legal Practice.

53
Q

What officers should a recognised body have?

A

They must always have a Compliance Officer for Legal Practice and a Compliance Officer for Finance and Administration.

54
Q

After making a finding of unlawful discrimination, what can an Employment Tribunal do?

A

The Employment Tribunal could order the firm to pay the applicant compensation for injury to feelings.

55
Q

Can someone be employed BECAUSE of their protected characteristic?

A

As long as the employer reasonably thinks that people with a particular protected characteristic are disproportionately under-represented in the workplace.

FLK1 - Legal Practice (4 decks)

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