Legal Services Regulation in England and Wales Flashcards
Chapter 1
What is the primary purpose of an independent regulator in the context of legal services?
To protect the public by ensuring services are delivered to a satisfactory standard by qualified individuals. This includes setting standards, handling complaints, and overseeing training.
What is the key distinction made by the Legal Services Act 2007 regarding legal services?
The distinction between ‘reserved legal activities’, which can only be carried out by authorized individuals, and those which fall outside that definition and can be carried out by anyone without legal regulation.
What are ‘reserved legal activities’?
These are types of legal work where the risk to the public is greatest. They are defined in s 12 of the Legal Services Act 2007.
List the six types of reserved legal activities.
○ The exercise of a right of audience.
○ The conduct of litigation.
○ Reserved instrument activities.
○ Probate activities.
○ Notarial activities.
○ The administration of oaths.
What does ‘the exercise of a right of audience’ mean?
The right to appear before and address a court, including the right to call and examine witnesses.
What does ‘the conduct of litigation’ mean?
It includes issuing proceedings, commencing, prosecuting and defending proceedings, and performing any ancillary functions related to those proceedings.
What does ‘reserved instrument activities’ encompass?
Preparing and lodging a formal legal document (instrument) dealing with the transfer or charge of land, relating to real or personal estate, or relating to court proceedings. Certain documents, such as wills and powers of attorney, are excluded.
What are ‘probate activities’?
Preparing the documents needed to obtain a grant of probate or a grant of letters of administration, or documents to oppose such a grant.
What are ‘notarial activities’?
Activities that relate to certifying and authenticating certain documents.
What is ‘the administration of oaths’?
The power to administer an oath, for example when a document, such as an affidavit, is required to be sworn.
What is the role of the Legal Services Board (LSB)?
To oversee and coordinate the regulation of legal services in England and Wales. It ensures standards of regulation and approves bodies to act as regulators.
What are the regulatory objectives of the LSB?
The LSB must promote objectives including: protecting the public interest, supporting the rule of law, improving access to justice, protecting consumers, promoting competition, encouraging an independent profession, increasing public understanding of the law, maintaining professional principles and promoting the prevention of economic crime.
What does it mean to be an ‘authorised person’ in the context of legal services?
It means a person who is authorised by a relevant approved regulator to carry out a specific reserved legal activity.
What is the role of the Solicitors Regulation Authority (SRA)?
The SRA is the approved regulator for solicitors, dealing with authorization for all the reserved legal activities except notarial activities.
What happens if a person carries out a reserved legal activity without authorization or exemption?
It is a criminal offense punishable by up to two years’ imprisonment. It can also result in contempt of court.
Are regulated providers only subject to regulation for their ‘reserved legal activities’?
No, they are subject to regulatory requirements in respect of all the legal services they provide, not just the reserved activities.
Can all lawyers provide all reserved legal activities?
No. Each approved regulator is linked to a specific profession or specialisation and some regulators can not authorise certain activities, for example, the SRA cannot authorise an individual to carry out notarial activities.
Give some examples of providers regulated outside of the Legal Services Act 2007.
Claims management companies, immigration advisors, and insolvency practitioners.
What are some examples of unregulated legal services?
Will writing, family law advice, and employment law advice.
List some of the approved regulators.
○ Solicitors Regulation Authority (SRA).
○ Bar Standards Board.
○ CILEx Regulation.
○ Council for Licensed Conveyancers.
○ Intellectual Property Regulation Board.
○ Costs Lawyers Standards Board.
○ Master of Faculties.
