Legal Services

Question 1

what is the process that a client can complain to?

Answer 1

1) law firm
2) legal ombudsman
3) SRA
4) Solicitors disciplinary tribunal

Question 2

what is the ultimate power that the solicitors disciplinary tribunal have?

Answer 2

can strike a solicitor off the role of solicitors

Question 3

does the solicitors disciplinary tribunal have the power to award compensation?

Answer 3

no, they do not have the power to award compensation

Question 4

what do organisation need to be authorised to provide under SRA rules?

Answer 4

• reserved legal power *unless exempt
• immigration services (unless regulated by office of immigration service)
• claims management services (unless regulated by FCA)
• regulated financial activities (unless regulated by FCA)

Question 5

what are the 3 key roles that the SRA has?

Answer 5

1) authorises organisations to provide legal services
2) standards - sets standards and enforces them
3) disciplinary matters

Question 6

what are the 7 key SRA principles for individuals and firms to act?

Answer 6

1) upholds constitutional principle of the rule of law and proper administration of justice
2) upholds public trust and confidence in solicitor profession and legal services
3) independence
4) honesty
5) integrity
6) encourages equality, diversity and inclusion
7) best interests of each client

Question 7

what are the 9 protected characteristics under equality act 2010?

Answer 7

1) age
2) disability
3) gender reassignment
4) marriage and civil partnership
5) pregnancy and maternity
6) race
7) religion or belief
8) sex
9) sexual orientation

Question 8

what is direct discrimination?

Answer 8

because of a protected characteristic, A treats B less favourably than treats others

Question 9

what is indirect discrimination?

Answer 9

concerned with acts, decisions or policies which are not intended to treat anyone less favourably, but have the effect of disadvantaging a group of people with protected characteristics

Question 10

what are the 3 definitions of harassment?

Answer 10

1) relates to a protected characteristic;
2) conduct of a sexual nature; and
3) less favourable treatment because of a person’s rejection of or submission to harassment of a sexual nature or harassment related to sex or gender reassignment

Question 11

what is victimisation under equality act?

Answer 11

protects individuals who do (or might do) protected acts such as bringing discrimination claims, complaining about harassment or becoming involved in another person’s discrimination complaint.

Question 12

what do the disability provisions of the equality act 2010 require a firm to do?

Answer 12

requires taking active steps - positive steps to reduce barriers that disabled people may face

Question 13

what type of duty is the duty to make reasonable adjustments?

Answer 13

the duty is anticipatory. therefore, must think in advance about what disabled people with a range of impairments might reasonably need

Question 14

what are the 3 requirements for the duty of reasonable adjustments where disabled person would otherwise be placed at substantial disadvantage compared to non-disabled people?

Answer 14

1) involves changing the way things are done = change policy / criteria / practice
2) making changes or overcome barriers from physical features
3) providing extra aids and services (auxiliary aids)

Question 15

for physical features to be overcome what are the reasonable steps the service provider must do?

Answer 15

• remove the feature; or
• alter it so no longer has that effect; or
• provide reasonable means of avoiding feature; or
• provide reasonable alternative method of making service available for disabled people

Question 15

what type of adjustments must a service provider make under equality act?

Answer 15

make REASONABLE adjustments

Question 16

what are the 5 warning signs of money laundering?

Answer 16

o Instructions outside your firm’s area of expertise
o Unusual retainers
o Use of client accounts
o Setting up a trust
o Property purchase (large payments from private funds)

Question 17

what are the 3 high risk jurisdictions under the financial action task force?

Answer 17

o Korea
o Iran
o Myanmar

Question 18

what are 4 of the EU high risk jurisdictions? (there are a lot more but these are the key 4)

Answer 18

o Yemen
o Iraq
o Syria
o Afghanistan

Question 19

who do direct involvement offences under PoCA apply to?

Answer 19

they apply to everyone, lawyers or otherwise

Question 20

who do non-direct involvement offences apply to under PoCA?

Answer 20

apply to people in the ‘regulated sector’ which includes people ‘participating in financial and real property transactions’

Question 21

what are the 3 key direct involvement offences?

Answer 21

• S327: Concealing, disguising, converting or transferring criminal property or removing criminal property from the UK
• S328: enters arrangements concerning criminal property
• S329: acquisition, use and possession of criminal property

Question 22

if you suspect money launder - who do you need to report it to? (the golden rule)

Answer 22

need to report to your MLRO or other nominated person

Question 23

once reported when can you resume undertaking further work on a case that you have raised as potential money laundering?

Answer 23

• authorised to do so by NCA;
• 7 working days from the suspicious activity report to NCA and they haven’t refused
• NCA refused consent during notice period and the moratorium period (31 days starting with day firm received notice that consent was refused) has expired

Question 24

what are the two indirect involvement offences under money laundering legislation?

Answer 24

• S330: relates to the offence of failure to disclose
• S333A: offence of tipping off

Question 25

what must disclosure contain for cases of money laundering (when suspect money laundering)?

Answer 25

(a) Identity of the person who you know/suspect is laundering proceeds of criminal conduct; AND
(b) The whereabouts of the laundered property if you know it; AND
(c) The information on which your knowledge/suspicion is based

Question 26

what type of business needs to be authorised by the SRA?

Answer 26

legal service bodies require authorisation from SRA - a firm where all managers / interest holders are lawyers

eg, can be a partnership, company or LLP