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SQE 1 > Legal Services > Flashcards

Legal Services Flashcards

1
Q

Regulated Providers of Legal Services (6)

A
  1. Solicitors Regulation Authority
  2. Bar Standards Board
  3. CILEx
  4. Intellectual Property Regulation Board
  5. Council of Licenced Conveyancers
  6. Master of the Faculties
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2
Q

Reserved Legal Activities (6)

A
  1. Right of Audience
  2. Conduct of Litigation
  3. Reserved Instrument Activities
  4. Probate Activities
  5. Notarial Activities
  6. Administration of Oaths
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3
Q

Exemption to Reserved Legal Activities

A

Litigant in Person

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4
Q

Minimum Level of Indemnity Insurance

A

£3 Million

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5
Q

Requirement for Professional Indemnity Insurance (2)

A
  1. Adequate
  2. Appropriate
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6
Q

Freelance Solicitor Professional Indemnity Insurance Requirements (2)

A
  1. No reserved legal activity, no insurance requirement
  2. If reserved legal activity, adequate and appropriate coverage (not £3 mil)
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7
Q

Non-Commercial Organisation Solicitor Requirement

A
  1. Charity or organisation must have appropriate and adequate cover
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8
Q

Funding of Non-Litigation Matters (2)

A
  1. Private Funding/Private Retainer
  2. Fixed Fee Basis
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9
Q

Funding of Litigation Matters (7)

A
  1. Private Funding
  2. Conditional Fee Agreement
  3. Damages Based Agreement
  4. Third Party Funding
  5. Legal Expenses Insurance
  6. Union Funding
  7. Legal Aid
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10
Q

Conditional Fee Agreement Rules (4)

A
  1. Hours + Success Fee
  2. If lost, disbursement only
  3. Cannot exceed 100% of normal fees
  4. Cannot be used in family proceedings
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11
Q

Damages Based Agreement Rules (4)

A
  1. Costs as a percentage of winnings
  2. If lost, solicitor not entitled to any fee or repayment of disbursements
  3. Legal costs can be no more than 50%
  4. No more than 25% in personal injury case
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12
Q

After the Event Insurance Rules (2)

A
  1. Will not cover client’s solicitor fees
  2. Taken for Conditional Fee or Damages Based Agreement
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13
Q

Legal Aid in Civil Context Test (2)

A
  1. Financial Eligibility Test
  2. Good Prospects of Success
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14
Q

Legal Aid in Criminal Context Test (2)

A
  1. Means Test
  2. Interest of Justice
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15
Q

Equality Act 2010 Protected Characteristics (9)

A
  1. Age
  2. Disability
  3. Gender Reassignment
  4. Marriages and Civil Partnerships
  5. Pregnancy and Maternity
  6. Race
  7. Religion or Belief
  8. Sex
  9. Sexual Orientation
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16
Q

Direct Discrimination by Association

A

Person can be discriminated against because of their association with a person who has a protected characteristics

17
Q

Exception to Direct Discrimination (2)

A
  1. Age or Disability
  2. Proportionate means of achieving the legitimate aim
18
Q

Exception to Indirect Discrimination (2)

A
  1. Proportionate means of achieving a legitimate aim
  2. Does not have to be public policy reason
19
Q

Stages of Money Laundering (3)

A
  1. Placement
  2. Layering
  3. Integration
20
Q

Concealing Rules (2)

A
  1. Know or Suspect
  2. Defence: Authorised Disclosure before the transaction occurs
21
Q

Arrangement Rules (3)

A
  1. Know or suspect
  2. Exception: Ordinary Litigation
  3. Defences: Authorised Disclosure
22
Q

Acquisition (2)

A
  1. Know or suspect
  2. Defences: Authorised Disclosure, Privileged Excuses, Adequate Consideration
23
Q

Defences for Failing to Report (2)

A
  1. Privilege
  2. Lack of Training
24
Q

Tipping Off Key Features (3)

A
  1. Disclosing investigation to offender or third person
  2. Direct or indirect disclosures
  3. Can arise from delays in the process
25
Q

Tipping Off Exceptions (2)

A
  1. Normal Enquiries
  2. Standard terms about AML obligations in engagement letter
26
Q

Tipping Off Defences (3)

A
  1. Permitted Disclosures
  2. Additional Permitted Disclosures
  3. Disclosures made to dissuade
27
Q

Defences to Prejudicing an Investigation (2)

A
  1. Person did not know or suspect
  2. Disclosures for legal proceedings
28
Q

Regulations policies and procedures (4)

A
  1. Appoint MLRO
  2. Customer Due Diligence
  3. Systems and Procedures to Forestall
  4. Training
29
Q

FSMA Regulated Activity (6)

A
  1. Insurance Contracts
  2. Shares in a Company
  3. Debentures or Bonds
  4. Mortgage Contract
  5. Pension Schemes
  6. Funeral Plans
30
Q

FSMA Exclusions (5)

A
  1. Takeover
  2. Acting as a trustee, nominee, personal representative
  3. Acting through authorised persons
  4. Introducing authorised persons
  5. Providing incidental activities
31
Q

Insurance

A

Exclusions not available

SQE 1 (15 decks)

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