Brainscape's Knowledge GenomeTM

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


See full index

Legal Services > Providers > Flashcards

Providers Flashcards

1
Q

Can chartered legal executives work alone or own firms

A

Cannot work alone, must be supervised by solicitor but can own firm

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

Who is a barrister regulated by when working in a solicitors firm

A

BSB but firm is regulated by SRA

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

Who regulates soliciors

A

Law society is regulator but SRA carries out regulatory functions

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

Who oversees the regulators

A

Legal services board

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

Can any body act as a regulator

A

No must be approved by legal services board

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

What are the s1 LSA regulatory objectives that Regulators must promote

A 
Public interest 
Rule of law
Access to justice 
Consumer interests 
Completion 
Independent, strong, diverse, effective 
Public understanding of rights and duties 
Independence, integrity, property standards, best interests, duty to court, confidentiality
How well did you know this?
1
Not at all
2
3
4
5
Perfectly
7
Q

Who can provide reserved activities

A

S13- must be authorised and regulated provider or exempt

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

Who can provide non-reserved activities

A

Anyone

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

What the non-reserved activities

A

Family
Employment
Wills

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

Is an authorised person regulated in all services they provide or just the reserved activities

A

All of them

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

Who is an authorised person

A

Someone authorised by an approved regulator

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

6 types of reserved activities

A 
Rights of audience
Conduct of Litigation 
Reserved instrument activities 
Probate activities 
Notarial activities 
Admin of oaths
How well did you know this?
1
Not at all
2
3
4
5
Perfectly
13
Q

What are reserved instruments activities

A

Prepare and lodge instruments (formal legal doc), deal with transfer or charge of land, relating to real or personal estate or an instrument relating to court proceedings

Wills and POA are excluded

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

Who are exempt ( can do reserved activities without authorisation)

A

Court can grant right out audience

Probate employee supervised by authorised person

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

What happens if you conduct reserved activities without authorisation

A

Criminal offence
2 years imprisonments
Contempt of court if rights of audience or litigation

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

Why are notarial activities different

A

Most regulators don’t authorise these

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

Who is responsible for compliance with regulators

A

Firms ensure compliance with regulators but individuals responsible for own conduct

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
18
Q

Which act separated SRA and law society

A

Legal services act 2007

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
19
Q

Who does the SRA regulate

A

Solicitors, firms, non-lawyer employees of firms, European and foreign lawyers

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
20
Q

How many people on SRA board

A

13

6 lawyers and 7 lay members

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
21
Q

How is SRA funded

A

From practising certificate fee

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
22
Q

Regulation is underpinned by SRA principles. What are they

A 
Rule of law 
Administration of justice 
Public trust 
Independence
Honesty 
integrity 
Diversity, equality and inclusion 
Best interests
How well did you know this?
1
Not at all
2
3
4
5
Perfectly
23
Q

Does the SRA need to act compatibly with s1 LSA regulatory objectives

A

As far as reasonably practical

24
Q

What is the purpose of SRA

A

To protect consumers, rule of law and admin of justice

25
Q

What approach does SRA take to regulation

A

Risk based approach

26
Q

What is a risk based approach

A

Assess risk to achieving regulatory objectives and target resources where risk is greatest

27
Q

What is risk

A

Harm caused
Plus
Likelihood of it occurring

28
Q

Where does SRA set out the risks

A

Annual risk outlook

29
Q

Risk management obligations of firms

A

Risk assessment- identify, monitor and manage risks to business

30
Q

Types of business eligible for authorisation

A 
Recognised sole practice 
Recognised body (partnership, LLP, company) 
Licensed body (ASB)
31
Q

What is a recognised body

A

All managers and interest holders all legally qualified

32
Q

What is a licensed body

A

ASB
At least one lawyer and one non-lawyer manager or owner

Or another body which is controlled at least 10% by non-lawyers

ASB may offer legal and non legal services

33
Q

Who is in LLP

A

Members not partners

34
Q

Salaried partners

A

Get salary not profits

35
Q

Equity partners

A

Get share of profits

36
Q

Effect of authorisation on recognised body

A

Carry out all reserved activities except notarial
Carry out immigration
Professional services in annex 2 rules (ADR, estate agency and financial services)
Compliance officer for legal practice
Compliance officer for finance and administration (SRA must approve these)

37
Q

Effect of authorisation on licensed body

A

Carry out all same activities as recognised body but in accordance with license granted by SRA

Must have Head of legal practice and Head of finance and administration

38
Q

Authorisation process for firms

A

Firms apply to SRA
SRA checks eligibility and investigated suitability (dedicate resources to high risk areas)

SRA might give blanket authorisation or for specific activities or refuse application

39
Q

Can firms that only conduct non-reserved activities apply for authorisation

A

Yea to reassure clients

40
Q

Authorisation process for individuals

A

Same requirements as for practising as a solicitor so anyone practising is regulated

41
Q

Requirements to practice

A

Admitted as a solicitor
On roll
Practising certificate

42
Q

How to get admitted as solicitor

A

Qualification, training, character test

Then placed on roll

43
Q

What if you practise as a solicitor without
Admission
On roll
Certificate

A

Criminal offence

44
Q

How to get practising certificate

A

Name on roll
English or welsh language
Not suspended

45
Q

What does a practising certificate allow

A

Practice reserved activities except notarial

Must be through authorised body

46
Q

Can you be refused a certificate

A

Yes SRA can refuse application or grant it with conditions

Appeal to SRA or high court

47
Q

Two categories for character and suitability test

A

Criminal conduct

Other conduct and behaviour

48
Q

What is serious criminal conduct

A

Application MAY be refused

Violence, discrimination, academic misconduct, dishonesty, cannot manage finances, disciplinary sanctions

Caution or conviction for offence not in most serious category

49
Q

What is most serious criminal conduct category

A

Application refused

Custodial or suspended sentence or caution for crime involving dishonesty, fraud, sexual, bribery, violence, obstructing justice, terrorism, discrimination

50
Q

Do you have to disclose criminal conduct to SRA

A

Yeah on going obligation

Failure to do so is taken into account when considering character test

51
Q

Do solicitors have rights of advocacy

A

Yes but cannot exercise in higher course until completed course

Higher courts; crown court, high court, C of A and SC

52
Q

Can in house solicitors provide reserved activities

A

Yes to their employers but not general public

53
Q

Can solicitor working for commercial unregulated organisation provide legal services

A

Yes to public but only non-reserved

54
Q

Solicitors in non-commercial organisation. What services can they provide

A

Reserved services to public if they have professional indemnity insurance

55
Q

What services can sole practitioners provide

A

Non- reserved activities

Reserved activities through authorised body

Or 3 years PQE, self employer, practice in own name, insurance, no employees, holds limited client money - still notify SRA to put details on public register

Legal Services (5 decks)

Brainscape helps you reach your goals faster, through stronger study habits.
© 2024 Bold Learning Solutions. Terms and Conditions