Brainscape's Knowledge GenomeTM

Browse over 1 million classes created by top students, professors, publishers, and experts.


See full index

SQE1_06-2026 > Legal system 5 - Regulation of services > Flashcards

Legal system 5 - Regulation of services Flashcards

1
Q

What are reserved legal services?

A

Services, which only a suitably qualified legal professional is permitted to carry out

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
2
Q

What is the Legal Services Act 2007?

A

The Legal Services Act 2007 establishes the framework for legal services, promoting competition and protecting consumers.

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
3
Q

What are the reserved legal services

A
  • exercises of a right of audience
  • conduct of litigation
  • reserved instrument activities
  • probate activities
  • notarial activities
  • administration of oaths
How well did you know this?
1
Not at all
2
3
4
5
Perfectly
4
Q

What are reserved instrument activities?

A

Activities which deal with the transfer, charge or registration of land

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
5
Q

Is drafting a Power of Attorney a reserved legal activity?

A

no

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
6
Q

Is carrying out ancillary tasks associated with proceedings before a court a reserved legal activity?

A

Yes

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
7
Q

Is drafting wills and other testamentary instruments a reserved legal activity?

A

no

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
8
Q

What are probate activities?

A

This includes:
* preparing the documents needed to obtain a grant of probate
* preparing a grant of letters of administration
* preparing documents to oppose a grant of probate/grant of letters of administration

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
9
Q

Is providing legal advice a reserved legal activity?

A

no

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
10
Q

Who oversees the approved regulatory bodies who regulate legal serivce providers?

A

the Legal Services Board (LSB)

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
11
Q

When must a solicitor comply with the SRA’s regulations and codes of conduct?

A

Whenever he provides legal services - even when not carrying out oreserved legal activities.

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
12
Q

What does SRA stand for?

A

Solicitors Regulation Authority

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
13
Q

What is a McKenzie friend?

A

A McKenzie friend assists a litigant in person in a court by
* prompting,
* taking notes, and
* quietly giving advice.

They need not be legally trained or have any professional legal qualifications.

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
14
Q

Are exemptions from authorisation from the Legal Services Act possible?

A

Yes

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
15
Q

Is a person required to be authorised or exempt to engage in non-reserved legal activities when they fall outside the scope of the LSA?

A

no

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
16
Q

The SRA regulates…

A

solicitors and law firms in England and Wales

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
17
Q

In its regulatory capacity, the SRA is responsible for:

A
  • licensing individuals and firms to practise
  • setting the standards of the profession
  • enforcing compliance against those standards
18
Q

To be able to practise as a solicitor, a person must:

A
  • satisfy education and training requirements
  • satisfy character and suitability requirements
  • obtain a practising certificate
19
Q

What is the relevance of a practicing certificate?

A

It authorises a solicitor to carry on all reserved legal activities (except notarial activities)
as long as
the solicitor is carrying them out through an authorised body (a law firm)

20
Q

Does every solicitor have to be attached to a law firm?

A

no

21
Q

What options do freelance solicitors have to practise reserved legal activities?

A

(a) act as recognised sole practice
(b) only conduct activities that are not reserved activities
(c) provide reserved activities through an authorised body

22
Q

Can in-house solicitors provide reserved legal activities?

A

yes, but only for their employer.

They cannot offer reserved legal services to the general public

23
Q

What is a recognised body under the SRA?

A

a “legal services body”

–> a law firm (irrespective of its legal form)

24
Q

What is a licensed body?

A

a law practice owned and managed by a lon-lawyer.

Must have at least one manager, who is authorised by the SRA or another approved regulator

25
Q

What is a recognised sole practice?

A

a solicitor working on an individual basis

26
Q

How many core principles are there in the SRA Standards and Regulations?

A

7

27
Q

What are the SRA Standards and Regulations core principles?

A

Act:
1. in a way that upholds the constitutional principle of the rule of law and proper administration of justice
2. in a way that upholds public trust and confidence
3. with independence
4. with honesty
5. with integrity
6. in a way that encourages equality, diversity and inclusion
7. in the best interests of each client.

28
Q

What is the SRA’s risk-based approach to regulation?

A

the SRA identifies risks that might adversely impact its ability to meet any of the regulatory objectives

29
Q

The SRA evaluates risks by reference to

A

(i) impact
(ii) probability
of the risk materialising

30
Q

What is a professional indemnity insurance (PII)?

A

It provides cover to the insured party (law firm/solicitor) should they breach a professional duty that causes financial loss or damage to a client

31
Q

The PII must provide … cover for the services the firm provides.

A

adequate and apppropriate

32
Q

What determines the level of what is considered adequate and appropriate for the PII?

A
  • the nature of the work
  • the number and type of clients
  • the possible value of any claim liabilities
  • any history of claims
  • alternative arrangements to meet liabilities
33
Q

Recognised and licensed bodies must be insured for at least … for any one claim

A

GBP 3 million (exclusive of defence costs)

34
Q

Those who are not a recognised and licensed body must be insured for at least…

A

GBP 2 million

35
Q

What PII must a freelance solicitor take out?

A

PII which is adequate appropriate

36
Q

What are the minimum requirements for PII?

A

adequate and appropriate

37
Q

In order to take up a job as a solicitor, one must have…

A

a valid practising certificate.

38
Q

Is it a criminal offence to act as a solicitor without a valid practising certificate?

A

yes

39
Q

Who regulates solicitors in England and Wales?

A

The Solicitors Regulation Authority (SRA) regulates solicitors, ensuring they uphold professional standards and ethical practices.

40
Q

What does “right of audience” refer to?

A

The right of audience refers to the right to represent a client in court, typically limited to qualified legal professionals.

SQE1_06-2026 (17 decks)

Brainscape helps you reach your goals faster, through stronger study habits.
© 2025 Bold Learning Solutions. Terms and Conditions