Part 2 (Part 2)

Question 1

You must not receive, control or handle

Answer 1

client money

Question 2

You must not receive, control or handle client money apart from when

Answer 2

the client pays you for your services. Except where you act as a manager or employee of an authorised body.

Question 3

If you make use of a third party payment services, you must:

Answer 3

1) ensure you will not receive, control or handle client money; and
2) only use the service in respect of legal services, e.g. fees. Disbursements or settlement monies; and
3) take reasonable steps that service is consistent with the duty to act competently and in the client’s best interests

Question 4

Control includes:

Answer 4

where you can cause money to be transferred without the client’s consent.

Question 5

third party payment services,

Client’s consent may be deemed given if:

Answer 5

1) Client has given informed consent to an arrangements enabling withdrawals to be made after client receives an invoice.
2) Client has not objected to the withdrawal within a pre-agreed reasonable period.

A fixed fee paid in advance is not client money.

Question 6

Is a fixed fee paid in advance client money?

Answer 6

A fixed fee paid in advance is not client money.

Question 7

Upfront fees from prospective clients before agreeing to work. This can be done, but have regard to:

Answer 7

• Take care to estimate accurately the likely time commitment and only take payment when satisfied:
  
  • Reasonable payment for work done; and
  • In public access work, it is suitable for you.
• If amount of work is unclear, consider staged payments, not fixed fee
• NEVER accept upfront fee in advance, when considering if you should take the case within a reasonable timescale.
• You may agree, that you will pay the client any difference between the fixed fee and the fee actually earned based on time spent.
  
  • The difference will not be client money, if you can show it was:
    
    • Expressly agreed in writing
    • Clear terms understood
    • Before payment of fixed fee.
  • Consider if such an arrangement is in the client’s interest, taking into account:
    
    • Nature of instructions
    • Client
    • Whether the client fully understands the implications.

Question 8

Any abuse of agreement to pay a fixed fee subject to reimbursement, (i.e receive more money than is reasonable), will be considered

Answer 8

holding client money.

Question 9

If you have upfront fees, confirm

this how?

Answer 9

If you have upfront fees, confirm in writing the acceptance of instructions and terms which you act, including basis of charging.

Question 10

The third party service may not be structured so as to

Answer 10

hold money, as your client, money to which the client is beneficially entitled

Question 11

How to consider if the third party payment service will be safe?

Steps to satisfy this depends in circumstances of a reasonably competent legal adviser acting in their client’s best interests. But unlikely to prove you are competent if you have not:

Answer 11

1) Ensured payment service is authorised or regulated by the Financial Conduct Authority, and taken reasonable steps to ensure it is in good standing.
2) Ensure it has arrangements to safeguard client’s funds or adequate insurance arrangements
3) Ensure the service segregates client’s money from its own funds.
4) Ensured terms of service are such that money paid in by or on behalf of client can be paid out with client’s consent
5) Inform the client that moneys held are not covered by the Financial Services Compensation Scheme.

Unless you are satisfied that it is safe to use the payment service, you must advise against the service.

Question 12

Insurance rules

You must:

Answer 12

1) Ensure adequate insurance covering legal services supplier to the public; and
2) If BSB authorised, the BSB can give notice stipulating minimum level of insurance/terms which must be taken. You must ensure you have this.

Question 13

Insurance rules

Where you are a self-employed barrister, you must be a member of BMIF, unless:

Answer 13

1) Pupil, covered by pupil supervisor’s insurance; or
2) Called to Bar under Rule Q25, so you must have BMIF insurance or be covered for professional negligence claims and have delivered a copy of current insurance policy, certificate of insurance, issued by insurer.

Question 14

If you are a member of BMIF, you must:

Answer 14

1) Pay promptly the insurance premium
2) Supply information as BMIF requires.

Question 15

If you work in a BSB entity, that entity must

Answer 15

take out insurance, covering your activities. They will need to confirm each year that it has reviewed the adequacy of its insurance cover.

Question 16

BSB regulated persons considering limiting liability should be

Answer 16

aware not to breach the Unfair Contract Terms Act, this might amount to professional misconduct.

Question 17

BSB regulated persons should regularly review

Answer 17

their professional indemnity insurance cover. Claims can arise years after work was undertaken so they should maintain adequate insurance cover for that time. They will need to arrange run-off cover if they cease practice.

Question 18

Employed barrister,

what insurance do you need?

Answer 18

you do not need your own insurance if you provide legal services only to your employer. If you supply legal services to other people, consider whether you need insurance. Your do not need to take insurance if your employer has adequate insurance. Ensure employer’s policy covers you for any pro bono work you may do.

Question 19

Registered European lawyer: You do not need your own insurance if:

Answer 19

1) Provide BSB evidence to show you are covered by insurance taken our in rules of home state; and
2) BSB is satisfied that insurance is fully equivalent in terms and extent of cover. If the BSB thinks the equivalence is only partial, they may require you to arrange additional insurance.

Question 20

you must not receive, control or handle client money apart from what the client pays you for your services.

EXCEPT:

Answer 20

Except where you act as manager or employee of an authorised (non-BSB) body

Question 21

If there is a third party payment service for making payments to or from or on behalf of your client, you MUST:

Answer 21

1. Ensure that the service you use will not result in your receiving, controlling or handling client money; and
2. Payments are made in respect of legal services, such as fees, disbursements or settlement monies; and
3. Take reasonable steps to check that making use of the service is consistent with your duty to act competently and in your client’s best interests.

Question 22

Receiving, controlling or handling client money includes

Answer 22

entering into any arrangement which gives you de facto control over the use, whether or not those funds are beneficially owned by your client and whether or not held in an account of yours.

Question 23

The circumstances in which you will have de facto control, include

Answer 23

include when you can cause money to be transferred from a balance standing to the credit of your client without that client’s consent to such a withdrawal.

Question 24

For large withdrawals, explicit consent should usually be required. However, the client’s consent may be deemed to be given if:

Answer 24

1. the client has given informed consent to an arrangement which enables withdrawals to be made after the client has received an invoice; and
2. the client has not objected to the withdrawal within a pre-agreed reasonable period (which should not normally be less than one week from receipt of the invoice).

A fixed fee paid in advance is not client money.

Question 25

You can request an “upfront” fixed fee from prospective client, but:

Answer 25

• Estimate accurately the likely time commitment and only take payment when you are satisfied that: – it is a reasonable payment for the work being done; and – in the case of public access work, that it is suitable for you to undertake.
• If the amount of work required is unclear, you should consider staged payments rather than a fixed fee in advance.
• You should never accept an upfront fee in advance of considering whether it is appropriate for you to take the case and considering whether you will be able to undertake the work within a reasonable timescale.

Question 26

You can request an “upfront” fixed fee from prospective client,

If the client can reasonably be expected to understand such an arrangement, you may agree

Answer 26

• agree that when the work has been done, you will pay the client any difference between that fixed fee and (if lower) the fee which has actually been earned based on the time spent, provided that it is clear that you will not hold the difference between the fixed fee and the fee which has been earned on trust for the client. That difference will not be client money if you can demonstrate that this was expressly agreed in writing, on clear terms understood by the client, and before payment of the fixed fee. You should also consider carefully whether such an arrangement is in the client’s interest, taking into account the nature of the instructions, the client and whether the client fully understands the implications. Any abuse of an agreement to pay a fixed fee subject to reimbursement, the effect of which is that you receive more money than is reasonable for the case at the outset, will be considered to be holding client money and a breach of rC73. For this reason, you should take extreme care if contracting with a client in this way.

Question 27

You must confirm in writing the acceptance of any instructions and

Answer 27

the terms or basis on which you are acting, including the basis of charging.

Question 28

To identify if the third party payment service is safe, satisfy yourself will depend on

Answer 28

what would be expected in all the circumstances of a reasonably competent legal adviser acting in their client’s best interests.

Question 29

To identify if the third party payment service is safe, satisfy yourself will depend on what would be expected in all the circumstances of a reasonably competent legal adviser acting in their client’s best interests.

This includes:

Answer 29

1. ensuring payment service authorised or regulated as a payment service by the Financial Conduct Authority (FCA) and taken reasonable steps to satisfy yourself that it is in good standing with the FCA;
2. if the payment service is classified as a small payment institution, ensured that it has arrangements to safeguard clients’ funds or adequate insurance arrangements;
3. ensured that the payment service segregates client money from its own funds; .
4. satisfied yourself that the terms of the service are such as to ensure that any money paid in by or on behalf of the client can only be paid out with the client’s consent;
5. informed your client that moneys held by the payment service provider are not covered by the Financial Services Compensation Scheme.

Question 30

INSURANCE

You must:

1. ensure that you have adequate insurance and
2. Ensure you have the minimum level of BSB insurance and/or minimum terms in place specified in such notice.

Question 31

INSURANCE

Where you are acting as a self-employed barrister, you must be a member of BMIF, unless:

Answer 31

1. you are a pupil who is covered by your pupil supervisor’s insurance; or
2. you were called to the Bar under Rule Q25, in which case you must either be insured with BMIF or be covered by insurance against claims for professional negligence arising out of the supply of your services in England and Wales in such amount and on such terms as are currently required by the Bar Standards Board, and have delivered to the Bar Standards Board a copy of the current insurance policy, or the current certificate of insurance, issued by the insurer.

Question 32

insurance

If you are a member of BMIF, you must:

Answer 32

1. pay promptly the insurance premium required by BMIF;
2. 2 supply promptly such information as BMIF may from time to time require pursuant to its rules.

Any notice issued will be posted on the Bar Standards Board’s website.

Question 33

BSB regulated persons should regularly

Answer 33

review the amount of their professional indemnity insurance cover, taking into account the type of work which they undertake and the likely liability for negligence.

Question 34

Where you are working as an employed barrister (non-authorised body), the rule does not require you to have your own insurance if

Answer 34

you provide legal services only to your employer, but consider if you need insurance elsewhere. If employer has adequate insurance, you need not take out any insurance of your own.

Question 35

Association with others

Where you are in an association on more than a one-off basis, you must

Answer 35

notify the Bar Standards Board that you are in an association, and provide such details of that association as are required by the Bar Standards Board.

Question 36

If you have a material commercial interest in an organisation to which you plan to refer a client, you must:

Answer 36

1. tell the client in writing about your interest in that organisation before you refer the client; and
2. keep a record of your referrals to any such organisation for review by the Bar Standards Board on request.

Question 37

If you have a material commercial interest in an organisation which is proposing to refer a matter to you, you must:

Answer 37

1. tell the client in writing about your interest in that organisation before you accept such instructions;
2. make a clear agreement with that organisation or other public statement about how relevant issues, such as conflicts of interest, will be dealt with; and
3. keep a record of referrals received from any such organisation for review by the Bar Standards Board on reasonable request.

Question 38

If you refer a client to a third party which is not a BSB authorised person or an authorised (non-BSB) person, you must

Answer 38

take reasonable steps to ensure that the client is not wrongly led to believe that the third party is subject to regulation by the Bar Standards Board or by another approved regulator.

Question 39

Outsourcing

Where you outsource to a third party any support services that are critical to the delivery of any legal services in respect of which you are instructed:

Answer 39

1. any outsourcing does not alter your obligations to your client;
2. you remain responsible for compliance with your obligations under this Handbook in respect of the legal services;
3. you must ensure that such outsourcing is subject to contractual arrangements which ensure that such third party:
   
   1. is subject to confidentiality obligations similar to the confidentiality obligations placed on you in accordance with this Handbook;
   2. complies with any other obligations set out in this Code of Conduct which may be relevant to or affected by such outsourcing;
   3. processes any personal data in accordance with your instructions;
   4. is required to allow the Bar Standards Board or its agent to obtain information from, inspect the records (including electronic records) of, or enter the premises of such third party in relation to the outsourced activities or functions, and;
   5. processes any personal data in accordance with those arrangements, and for the avoidance of doubt, those arrangements are compliant with any relevant data protection laws.

Question 40

Administration and conduct of self-employed practice

You must ensure that:

Answer 40

1) Your practice is efficiently administered, having regard to the nature of the practice; and
2) Proper records are kept

Question 41

When deciding how long records need to be kept, take into consideration

Answer 41

various requirements, such as in the Handbook, any data protection law and HM Revenue and Customs. You may want to draw up a records Keeping Policy.

Question 42

Administration and conduct of self-employed practice

When deciding how long records need to be kept, take into consideration various requirements, such as in the Handbook, any data protection law and HM Revenue and Customs. You may want to draw up a records Keeping Policy.

You must:

Answer 42

1. Ensure adequate records supporting fees charged or claimed in a case are kept at the lease until:
   
   1. Fees have been paid; and
   2. Any determination or assessment of costs has been completed and the time for lodging an appeal against this has expired without anything being lodged.
2. Provide the client with records or details of work you have done with the purposes of verifying the charges.

Question 43

You should retain

what

so that they are available to view

Answer 43

You should retain relevant policies, procedures, monitoring reports and other records of your practice so that they are available to view.

Question 44

You must notify clients in writing when instructed:

of:

Answer 44

1. Of their right to make a complaint, including right to complain to the Legal Ombudsman, how, to whom, they can complain and any time limits
2. If doing referral work, that the lay client may complain directly to chambers or BSB entity without going through solicitors.

Question 45

If doing public access, or licensed access work using an intermediary, the intermediary must

Answer 45

be informed similarly.

Question 46

If doing referral work, you do not need to :

Answer 46

give professional client writing notice of complaint information in a separate, specific letter. It is enough to provide it in a reference letter when you accept instructions.

Question 47

If you do not send a letter of engagement to a lay client,

WHAT MUST BE SENT?

Answer 47

a specific letter must be sent to them.

Question 48

Each website of self-employed barristers, chambers and BSB entities must display:

Answer 48

• On homepage, emails and letterheads the text “regulated by the BSB”, or “barristers regulated by the BSB”, or “authorised and regulated by the BSB” and
• In a sufficiently accessible and prominent place
  
  • Information about complaint procedure, right to complain to legal ombudsman, how to complain to legal ombudsman, any time limits
  • Link to decision data on legal ombudsman’s website
  • Link to the Barristers’ Register on the BSB website

Question 49

All complaints must be acknowledged promptly. When acknowledging a complaint, you must give the complainant:

Answer 49

1. The name of person who will deal with the complaint and a description of the person’s role in chambers or in the BSB entity
2. Copy of the chambers’ complaints procedure
3. Date by which the complaint will next hear from chambers

Question 50

When chambers has dealt with a complain, complainants must be:

Answer 50

told in writing of their right to complain to the Legal Ombudsman, time limit and how to contact them.

Question 51

All communications relating to complains are confidential. They must be disclosed only so far as necessary for:

Answer 51

1. Investigation and resolution of the complaint
2. Internal review in order to improve chambers’ or BSB entity’s handling of complaints
3. Complying with requests from the BSB when monitoring and auditing

Question 52

Is Disclosure to BSB of internal documents relating to the handling of the complaint for further resolution or investigation required?

Answer 52

NO!

Question 53

A record of each complaint must :

Answer 53

be kept, all steps taken to response, outcome of the complaint. Copies must also be kept. Records and complaints should be kept for 6 years from resolution of the complaint.

Question 54

The person responsible for the administration of the procedure must report at least annually to either:

Answer 54

1. The HOLP or
2. Appropriate member/committee of chambers.

On the number of complaints received, on subject areas of complaints and outcomes. Complaints should be reviewed for trends and possible training issues.

Question 55

You must take reasonable steps to ensure that in relation to your chambers or BSB entity:

Answer 55

1. there is in force a written statement of policy on equality and diversity; and
2. there is in force a written plan implementing that policy;
3. the following requirements are complied with:

Question 56

A chambers or BSB entity must have at at least:

Answer 56

one Equality and Diversity Officer;

Question 57

every member of all selection panels must be:

Answer 57

save in exceptional circumstances, every member of all selection panels must be trained in fair recruitment and selection processes;

Question 58

Equality monitoring

your chambers or BSB entity MUST:

Answer 58

conduct a regular review of its policy on equality and diversity and of its implementation in order to ensure that it complies with the requirements AND takes any appropriate remedial action identified in the light of that review;

Question 59

The chambers or BSB entity regularly reviews:

Answer 59

1. .i the number and percentages of its workforce from different groups; and
2. .ii applications to become a member of its workforce; and
3. iii in the case of chambers, the allocation of unassigned work,

This includes:

.i collecting and analysing data broken down by race, disability and gender;

.ii investigating the reasons for any disparities in that data; and

.iii taking appropriate remedial action;

Question 60

The chamber must act in a fair and equitable way, this includes:

Answer 60

the fair distribution of work opportunities among pupils

Question 61

Fair access to work

Harassment

Chambers or BSB entity must have a written anti-harassment policy which, as a minimum:

Answer 61

.i states that harassment will not be tolerated or condoned and people have a write to complain

.ii sets out how the policy will be communicated;

.iii sets out the procedure for dealing with complaints of harassment;

Question 62

Parental leave

Chambers has a parental leave policy which must cover as a minimum:

Answer 62

1. the right of a member of chambers to take parental leave;
2. the right of a member of chambers to return to chambers after a specified period, or number of separate periods, of parental leave, provided the total leave taken does not exceed a specified maximum duration (which must be at least one year);
3. a provision that enables parental leave to be taken flexibly and allows the member of chambers to maintain their practice while on parental leave, including the ability to carry out fee earning work while on parental leave without giving up other parental leave rights;
4. the extent to which a member of chambers is or is not required to contribute to chambers’ rent and expenses during parental leave;
5. the method of calculation of any waiver, reduction or reimbursement of chambers’ rent and expenses during parental leave;
6. where any element of rent is paid on a flat rate basis, the chambers’ policy must as a minimum provide that chambers will offer members taking a period of parental leave a minimum of 6 months free of chambers’ rent;
7. the procedure for dealing with grievances under the policy;
8. chambers’ commitment to regularly review the effectiveness of the policy;

Question 63

Chambers or BSB entity has a flexible working policy which covers

Answer 63

the right of a member of chambers, manager or employee (as the case

may be) to take a career break, to work part-time, to work flexible hours, or to work from home, so as to enable them to manage their family

responsibilities or disability without giving up work;

Question 64

Chambers must have a

Answer 64

Diversity Data Officer;

Question 65

Appointment of Diversity Data Officer

Chambers or BSB entity must provide the

Answer 65

name and contact details of the Diversity Data Officer to the Bar Standards Board and must notify

the Bar Standards Board of any change to the identity of the Diversity Data Officer, as soon as reasonably practicable;

Question 66

The Diversity Data Officer shall ensure that

Answer 66

such data is anonymised and that an accurate and updated summary of diversity data is published on chambers’ or BSB entity’s website every three years. If chambers or the BSB entity does not have a website, the Diversity Data Officer shall make such data available to the public on request;

Question 68

Collection and publication of diversity data

s The published summary of anonymised data shall:

Answer 68

• exclude diversity data in relation to any characteristic where there is a real risk that individuals could be identified, unless all affected individuals consent; and
• subject to the foregoing, include anonymised data in relation to each characteristic, categorised by reference to the job title and seniority of the workforce.

Question 69

The Diversity Data Officer shall:

Answer 69

1. ensure that chambers or BSB entity has in place a written policy statement on the collection, publication, retention and destruction of diversity data which shall include an explanation that the provision of diversity data is voluntary;
2. notify the workforce of the contents of the written policy statement; and
3. ask for explicit consent from the workforce to the provision and processing of their diversity data in accordance with the written policy statement and these rules, in advance of collecting their diversity data.

Question 70

Where a barrister is instructed by a lay client, not by solicitor or professional client.

Before accepting public access instructions, you must:

Answer 70

1. Qualified (full practising certificate), completed appropriate public access training, registering with Bar Council as a public access practitioner
2. Take steps to ensure the client is able to make an informed decision about whether to apply for legal aid or proceed with public access.

Question 71

If less than 3 years standing, you must have a

WHO

to provide guidance?

Answer 71

If less than 3 years standing, you must have a qualified person as a public access practitioner to provide guidance.

You cannot accept instructions from a public access client if it would be in the best interests of the public access client or interests of justice for the public for them to instruct a solicitor or professional client.

Question 72

Where you can accept instructions, you must consider at any stage of the case whether it is in the best interests to instruct a solicitor. If, after accepting instructions from public access client, you think it is in their best interest, you must:

Answer 72

1. Inform them
2. Withdraw from the case unless the client instructs a solicitor or professional client

Question 73

Having accepted public access instructions, you must write to the client of:

Answer 73

1. Work agreed
2. Performing work subject to Parts 2 and 3 of handbook, in particulars Rc25 and rC26;
3. Unless authorised by BSB, you cannot be expected to perform functions of a solicitor authorised to conduct litigation
4. Do not undertake management, administration or general conduct of client’s affairs
5. Where instructed by an intermediary:
   
   1. Fact you are independent have no liability for the intermediary; and
   2. Fact intermediary is an agent of the lay client, not your agent
6. May be prevented from completing work because of professional duties or conflicting professional obligations, and what client can expect then
7. Fees
8. Contact arrangements
9. Information about complaints procedure

You will have complied with this if you have written promptly in the terms of the model letter provided on the BSB website.

Question 74

Public access:

Where instructed by intermediary, give notice (the written notice of above)to:

Answer 74

1. Directly to public access client; and
2. Intermediary

Question 75

When you accept public access instructions, keep a case record setting out:

Answer 75

• Date of receipt of instruction, name of lay client, name of case, time limit
• Date when instructions were accepted
• Dates of subsequent instruction, despatch of advice and other written work, conferences and telephone conversations; and
• The fee

Question 76

Having accepted public access instruction, you must retain or ensure the lay client retains for at least 7 years after date of last item of work done:

Answer 76

1. Copies of all instructions
2. Copies of all advices, and documents given or approved
3. The originals, copies or a list of documents enclosed with instructions; and
4. Notes of all conferences and advice given on telephone.

Question 77

Having accepted public access instruction, you must retain or ensure the lay client retains for at least 7 years after date of last item of work done:

UNLESS OTHERWISE AGREED:

Answer 77

• You shall be entitled to copy all documents received from your lay client, and to retain these.
• Return all documents received from lay client on demand, whether or not you have been paid for work done for lay client;
• Not be required to deliver to your lay client any document drafted by you in advance of receiving payment from the lay client for all work done for that client.

Question 78

Licensed access rules

A self-employed barrister can accept instructions from a licensed access client.

You are only required to accept instructions from a licensed access client if at any time of giving instructions, the licensed access client:

Answer 78

1. Is identified; and
2. The licensed access client holds a valid licence

Question 79

Licensed access rules

You must not accept instructions from a licensed access client:

Answer 79

1. Unless you can provide the services
2. Consider it in the interests of the lay client, or justice, that a solicitor who is authorised to conduct litigation may be instructed with you or in your place.

Keep a copy of the agreement of standard terms in writing with the licensed access client, setting out terms and payment.

Question 80

Licensed access rules

Having accepted instructions from a licensed access client, you must promptly send:

Answer 80

1. A statement that instructions are accepted on standard terms previously agreed in writing
2. If accepted on terms other than standard terms, a copy of the agreement in writing.
3. Unless you accepted on standard terms, you must advise:
   
   1. The effect of rC21
   2. That you cannot be expected to perform functions of solciotr authorised to conduct litigation
   3. Circumstances may require the client to retain a solicitor who is authorised to conduct litigation at short notice and during the case.

Question 81

Licensed access rules

If instructed by a licensed access client, and you consider it in the best interests of your client or interests of justice that a solicitor Is authorised to conduct litigation, you must:

Answer 81

1. Advise the licensed access client in writing to instruct a solicitor authorised to conduct litigation
2. Unless instructed, you must cease to act and return the brief

Question 82

When must you report the licensed access client to the BSB?

Answer 82

If at any stage when instructed by a licensed access client, you think there are substantial grounds for believing the licensed access client has failed to comply with the terms of its licence you must report this to the BSB.

Question 83

Licensed access rules

Having accepted instructions from a licensed access client, you must keep a case record setting out:

Answer 83

1. Date of receipt of instructions, name of licensed access client, name of case, time limits
2. Date instructions accepted
3. Dates of subsequent instructions, despatched advice and other written work, conferences and telephone conversations;
4. Fees

Question 84

Licensed access rules

Having accepted instructions from a licensed access client, you must retain or ensure the licensed access client will retain for 7 years after day of last item of work done:

Answer 84

1. Copies of instructions
2. Copies of all advices given and documents drafted or approved
3. List of all documents enclosed with any instructions; and
4. Notes of all conferences and all advice given on the telephone.

Question 85

The unregistered barrister

Where you are an unregistered barrister supplying legal services to an inexperienced client then, before supplying these services:

1. Explain to the client that:

Answer 85

1. You are not acting as a barrister
2. Not subject to the Code of Conduct
3. BSB will only consider complaints about you which concern the Core Duties that apply to you
4. Not covered by professional indemnity insurance
5. Right to make a complaint, how they can, to whom, any time limits but no right to complain to the Legal Ombudsman;
6. Substantial risk they cannot rely on legal professional privilege.

Question 86

The unregistered barrister

What is an Inexperienced client?

Answer 86

– includes person who would have a right, if BSB authorised person, to bring a complaint pursuant Legal Ombudsman Scheme Rules.

Question 87

When do the rules on the unregistered barristeer not apply?

Answer 87

These rules do not apply if you supply legal services as:

1. Employee/manager of a regulated entity
2. Subject to regulation by professional body or regulator
3. Legal advice centres
4. Authorisation obtained by approved regulator

Question 88

Part 2: D6 – Price and service transparency rules for self-employed barristers, chambers and BSB entities

Clients should be provided with:

Answer 88

appropriate information to help them make informed choices and understand the price and service they will receive.

Question 89

Price and service transparency rules for self-employed barristers, chambers and BSB entities

Each website of self-employed barristers, chambers and BSB entities must, in a sufficiently accessible and prominent place:

Answer 89

1. State that professional, licensed access and/or lay client may contact the barrister, chambers or BSB entity to obtain a quotation for legal services and provide contact details.
2. Quotations must be provided within a reasonable time period, in clear and readily understandable terms;
3. State their most commonly used pricing models for legal services, such as fixed fee or hourly rate. Where different models are used, this must be explained;
4. State the areas of law, and describe the legal services they most commonly provide; and
5. Provide information about the factors which might influence timescales

Question 90

Price and service transparency rules for self-employed barristers, chambers and BSB entities

All self-employed barristers, chambers and BSB entities must review their website content at HOW OFTEN?

Answer 90

least annually.

Question 91

Price and service transparency rules for self-employed barristers, chambers and BSB entities

What must happen where a client doesn’t have internet access?

Answer 91

They must be able to give required information in an alternative format, where the client or prospective client does not have internet access.

Question 92

All self-employed barristers, chambers and BSB entities must notify the Bar Standards Board of their

Answer 92

website address(es) offering legal services, and any changes to their website address(es), within 28 days of the creation or change of the same.

Question 93

Self-employed barristers undertaking public access work and BSB entities supplying legal services directly to the public

Each website of self-employed barristers undertaking public access work/ legal services directly to the public, must:

Answer 93

in a sufficiently accessible and prominent place display a link to the Public Access Guidance for Lay Clients on the BSB’s website

Question 94

Self-employed barristers undertaking public access work and/or their chambers, and BSB entities supplying legal services directly to the public, are required by the Bar Standards Board’s price transparency policy statement to provide

Answer 94

price information in relation to certain legal services in certain circumstances.

Question 95

each website must in a sufficiently accessible and prominent place:

Answer 95

1. state their pricing model(s), such as fixed fee or hourly rate;
2. state their indicative fees and the circumstances in which they may vary.
3. state whether their fees include VAT (where applicable); and
4. state likely additional costs, what they cover and either the cost or, if this can only be estimated, the typical range of costs.
5. State and describe the legal services, including a concise statement of the key stages
6. Provides a timescale of the legal services

Thus:

• A sole practitioner must provide price information in relation to them as an individual barrister;
• A BSB entity must provide price information in relation to the entity; and .
• A chambers may provide price information either in relation to (1) individual barristers, or (2) barristers in chambers in the form of ranges or average fees.

Question 96

You may only carry on reserved legal activities or supply other legal services in the following capacities:

Answer 96

1. as a self-employed barrister, subject to the limitations imposed by Section 3.B3;
2. as a BSB entity subject to the limitations imposed by Section 3.B4;
3. as a manager of a BSB entity or as an employed barrister (BSB entity), subject to the limitations imposed by Section 3.B5;
4. as a manager of an authorised (non-BSB) body or as an employed barrister (authorised non-BSB body), subject to the limitations imposed by Section 3.B6;
5. as an employed barrister (non authorised body), subject to the limitations imposed by Section 3.B7; or
6. as a registered European lawyer in any of the above capacities, in which case the equivalent limitations that would have applied if you were practising as a barrister shall apply to your practice as a registered European lawyer.

Question 97

Where you carry on reserved legal activities, so as to be subject to regulation by the BSB in respect of reserved legal activities, any other legal services you supply will also be subject to

Answer 97

regulation by the BSB, even if unreserved.

Question 98

You may only practise or be involved with the supply of legal services after:

Answer 98

1. having obtained a practising certificate from the BSB; and
2. agreed with employer or regulated entity with which you are involved a protocol that enables you to avoid or resolve conflicts of interests arising from your practice

And provided that you do not work in more than one capacity in relation to the same case or issue for the same client, at the same time.

Question 99

If you are a pupil, you may supply legal services to the public, if

Answer 99

you have permission of your pupil supervisor, or head of chambers.

Question 100

If you are a barrister of less than 3 years, you may only supply legal services to the public or conduct litigation if your principle place of practice is:

Answer 100

1. chambers (where a qualified person is readily available to provide guidance to you); or
2. an office (where a qualified person is readily available to provide guidance to you);

Question 101

If you are an employed barrister – and you exercise a right of audience or conduct litigation, then the place of practice is

Answer 101

an office where there is a qualified person who is available to provide guidance if you are of less than one year’s standing.

Question 102

Supply of legal services to the public - Qualified person = they have:

Answer 102

1. been practiced as a barrister or person authorised, for at least 6 years in the previous 8 years, and
2. The previous 2 years have made such practice their primary occupation; and
3. Are not acting as a qualified person in relation to more than 2 other people; and
4. Has not been designated to the BSB as unsuitable to be a qualified person.

Question 103

Exercise of a right of audience – qualified person = where:

Answer 103

1. A person is qualified where there:
   
   1. Practised as a barrister or been authorised for at least 6 years in the previous 8 years;
   2. For the previous 2 years:
      
      1. Have made such practice their primary occupation; and
      2. Have been entitled to exercise a right of audient before every court; and
   3. Are not acting as a qualified person in relation to more than 2 other people; and
   4. The BSB does not think they are unsuitable
2. You are a barrister exercising a right of audience in a MS other than the UK, a person is a qualified person where they:
   
   1. Designated by the BSB as possessing qualifications and experience which are equivalent
   2. Not acting as a qualified person in relation to more than two other people; and
   3. Have not been designated by the BSB as unsuitable to be a qualified person.

Question 104

The exercise of a right to conduct litigation – qualified person

A qualified person if they:

Answer 104

1. Have practiced for at least 6 years in the previous 8 years; and
2. For the previous 2 years have made such practice their primary occupation and
3. Entitled to conduct litigation before every court in relation to all proceedings; and
4. Are not acting as a qualified person in relation to more than 2 other people; and
5. BSB does not think they are unsuitable

Question 105

If you are exercising a right to conduct litigation in a MS other than in the UK, a person is qualified person where:

Answer 105

1. Designated by the BSB are having qualifications and experience which is equivalent
2. Not acting as a qualified person in relation to more than 2 other people; and
3. BSB does not think they are unsuitable.

If you are a practising barrister with less than 3 years standing and authorised to conduct litigation, you will need to work with a qualified person who is authorised to do litigation. They must be qualified for purposes of providing services to the public and exercising rights of audient. This may be, but is not necessarily, the same person.

Question 106

1. Reserved legal activities
   
   • Manual 10.2.1-.2

“Reserved legal activities” – are ones which are regulated and a person can only carry on a reserved legal activity if authorised to do so. The following are reserved legal activities:

Answer 106

1. Exercising a right of audience in a court
2. Conduct of litigation
3. Oath administration
4. Reserved instrument activities
5. Probate activities
6. Notarial services

Question 107

Is a “first six” pupil eligible for a practising certificate?

Answer 107

A “first six” pupil is not eligible for a practising certificate. But this does not prevent the first six pupil from accepting a noting brief for court.

Question 108

You may only supply legal services if you are appointed/instructed by the court or instructed: BY

Answer 108

1. By a professional client; or
2. Licensed access client;
3. By or on behalf of other client, provided that:
   
   1. The matter is public access instructions; and
      
      1. You are entitled to provide public access work, and instructions are relevant to such entitlement; and
      2. You have notified the BSB that you are willing to accept instructions from lay clients; and
      3. You comply with the public access rules; or
   2. The matter related to conduct of litigation; and
      
      1. you have a litigation extension to your practising certificate and
      2. you have notified the BSB that you are willing to accept instructions from lay clients.

Question 109

If instructed by a foreign lawyer to provide advocacy in relation to court proceedings, you should advise the foreign lawyer

Answer 109

of any limitation on the services you can provide. EXAMPLE: if conduct of litigation will be required, and you are not authorised for this, you should advise them to tale steps to instruct a person authorised, and, if requested, assist the foreign lawyer. Then consider if you should return instructions.

You must not undertake the management, administration or general conduct of a client’s client.

Question 110

Can you supply legal services at a legal advice centre?

Answer 110

You can supply legal services at a legal advice century. If you do, you will be treated for purposes of this handbook as if employed by the legal advice centre.

Question 111

If you supply legal services at a legal advice centre to clients:

Answer 111

1. You must not either directly or indirectly receive any fee or reward other than a salary paid
2. Ensure any fees supplied are paid to the legal advice centre
3. Must not have any financial interest in the legal advice centre

You may provide legal services at a Legal Advice Centre unpaid

You do not need to inform the BSB that you are working for a Legal advice centre

Transitional arrangements under the LSA allow Legal Advice Centres to provide reserved legal activities without being authorised.

Question 112

Do you need to inform the BSB that you provide legal services at the lEGAL advice centre?

Answer 112

You do not need to inform the BSB that you are working for a Legal advice centre

Transitional arrangements under the LSA allow Legal Advice Centres to provide reserved legal activities without being authorised.

Question 113

You are eligible for a practising certificate if:

Answer 113

1) You are a barrister or registered European lawyer and not currently suspended from practice and not been disbarred; and;
2) Are eligible; and
3) Either:
a. Within the last 5 years, either
i. You have held a practising certificate; or
ii. You have satisfactorily completed the pupillage component of training; or
iii. If you have not complied with such training as may be imposed by the BSB.

Question 114

You are eligible for:

1) A full practising certificate if either:

Answer 114

a. Completing pupillage; or
b. Exempted from completing pupillage; or
c. On 30 July 2000, y you were entitled to exercise full rights of audience by reason of being a barrister

Question 115

You are eligible for a litigation extension:

Answer 115

1. When you have or are due to be granted a practising certificate
2. When you are:
   
   1. More than 3 years standing; or
   2. Less than 3 years standing, but your principal place of practice is either:
      
      1. A chambers where there is a qualified person
      2. An office where there is a qualified person
3. Where you have the relevant administrative systems in place to be able to provide legal services direct to clients and to administer the conduct of litigation; and
4. You have procedural knowledge to enable you to enable you to conduct litigation completely.

Question 116

You may apply for a practising certificate by:

Answer 116

1) Completing the relevant application from supplied by the Bar Council and submitting it; and
2) Submitting information to support the information;
3) Paying the practising certificate fee

Question 117

You may apply for a litigation extension to a practising certificate by:

Answer 117

1) Completing the relevant application form supplied by the Bar Council and submitting it; and
2) Confirming you meet the relevant requirements;
3) Paying the application fee and litigation extension fee;
4) Confirming that you have the relevant administrative systems in place to provide legal services direct to clients and to administer the conduct of litigation; and
5) Confirming that you have the procedural knowledge to enable you to conduct litigation competently

An application will only have been made if the Bar Council has received it, together with the application fee, practising certificate fee, litigation extension fee, all information required.

Question 118

Who is responsible for your application for practising certificates?

Answer 118

You are personally responsible for the contents of your application and any information submitted to the Bar Council, and you must not submitting information which you do not believe to be full and accurate.

When applying for a practising certificate you may apply to the Bar Council for a reduction in the fee if your income or salary is less than the amount the Bar Council decides.