Legal system 5 - Regulation of services

Question 1

What are reserved legal services?

Answer 1

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

Question 2

What are the reserved legal services

Answer 2

• exercises of a right of audience
• conduct of litigation
• reserved instrument activities
• probate activities
• notarial activities
• administration of oaths

Question 3

What are reserved instrument activities?

Answer 3

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

Question 4

Is drafting a Power of Attorney a reserved legal activity?

Answer 4

no

Question 5

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

Answer 5

Yes

Question 6

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

Answer 6

no

Question 7

What are probate activities?

Answer 7

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

Question 8

Is providing legal advice a reserved legal activity?

Answer 8

no

Question 9

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

Answer 9

the Legal Services Board (LSB)

Question 10

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

Answer 10

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

Question 11

What does SRA stand for?

Answer 11

Solicitors Regulation Authority

Question 12

What is a McKenzie friend?

Answer 12

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.

Question 13

Are exemptions from authorisation from the Legal Services Act possible?

Answer 13

Yes

Question 14

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?

Answer 14

no

Question 15

The SRA regulates…

Answer 15

solicitors and law firms in England and Wales

Question 16

In its regulatory capacity, the SRA is responsible for:

Answer 16

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

Question 17

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

Answer 17

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

Question 18

What is the relevance of a practicing certificate?

Answer 18

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)

Question 19

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

Answer 19

no

Question 20

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

Answer 20

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

Question 21

Can in-house solicitors provide reserved legal activities?

Answer 21

yes, but only for their employer.

They cannot offer reserved legal services to the general public

Question 22

What is a recognised body under the SRA?

Answer 22

a “legal services body”

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

Question 23

What is a licensed body?

Answer 23

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

Question 24

What is a recognised sole practice?

Answer 24

a solicitor working on an individual basis

Question 25

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

Answer 25

7

Question 26

What are the SRA Standards and Regulations core principles?

Answer 26

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.

Question 27

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

Answer 27

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

Question 28

The SRA evaluates risks by reference to

Answer 28

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

Question 29

What is a professional indemnity insurance (PII)?

Answer 29

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

Question 30

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

Answer 30

adequate and apppropriate

Question 31

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

Answer 31

• 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

Question 32

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

Answer 32

GBP 3 million (exclusive of defence costs)

Question 33

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

Answer 33

GBP 2 million

Question 34

What PII must a freelance solicitor take out?

Answer 34

PII which is adequate appropriate

Question 35

What are the minimum requirements for PII?

Answer 35

adequate and appropriate

Question 36

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

Answer 36

a valid practising certificate.

Question 37

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

Answer 37

yes