Providers of Legal Services

Question 1

What are the reserved legal activities under S 12 of the Legal Services Act 2007?

Answer 1

• The exercise of a right of audience: appear before and address a court including the right to call and examine witness
• The conduct of litigation:
- issuing of proceedings before any court in England and Wales;
-the commencing, prosecuting and defending of those proceedings; and
- the performing of any ancillary functions in relation to those proceedings (such as entering appearances to actions).
• Reserverd instruments activities: preparing and lodging an instrument (formal legal document) dealing with the transfer or charge of land, relating to real or personal estate or an instrument relating to court proceedings. Will and powers of attorney are excluded.
• Probate activities: this means preparing “probate papers” i.e. documents needed to obtain a grant of probate or a grant of letter of administration or documents to oppose such a grant.
• Notarial activities: certifying and authenticating certain documents
• The administration of oaths: for example, when an affidavit is required to be sworn

Question 2

Who is authorised to carry out reserved legal activities?

Answer 2

Those who authorised or exempt

Question 3

Who is the approved regulator for solicitors in the Legal Services Act 2007?

Answer 3

The Law Society

Question 4

Who carries out the regulatory function for solicitors?

Answer 4

The Solicitors Regulation Authority

Question 5

What are the reserved legal activities that the SRA responsible for?

Answer 5

All except notarial activities

Question 6

What is the exemption applicable to rights of audience?

Answer 6

The court grants a person a right of audience in a particular case

Question 7

What is the exemption applicable to probate activities?

Answer 7

An employee can act under the supervision of an authorised person. There is also an exemption for non-commercial organisations such as charities and independent trade unions.

Question 8

What are the offences committed by practicing a reserved legal activity without authorisation or being exempt?

Answer 8

Criminal offence (punishable by Two years’ imprisonment). In the context of right of audience and conduct of litigation, carrying out a reserved legal activity whilst not entitled to do so places the individual in contempt of court.

Question 9

What is the Legal Services Board responsible for?

Answer 9

Overseeing the regulation of all lawyers in England and Wales.

Question 10

How many regulators directly regulate the different types of lawyers on a day-to-day basis?

Answer 10

8

Question 11

What are the responsibilities of the LSB?

Answer 11

• Ensuring standards of regulation.
• Approve regulators of legal services under the Legal Services Act 2007
• Promote the regulatory objectives set out in s. 1 of the Legal Services Act 2007
• Hold individual regulators to account in relation to the regulatory objectives
• Monitor the way in which regulators operate
• Make recommendations for improvement
• Impose penalties for deficiencies or ultimately withdraw approval.
• Give consent to regulatory changes

Question 12

What are the regulatory objectives set out in s 1 of the Legal Services Act 2007?

Answer 12

• Protecting and promoting the public interest
• Supporting the constitutional principle of the rule of law
• Improving access to justice
• Protecting and promoting the interests of consumers
• Promoting competition in the provision of services in the legal sector
• Encouraging an independent, strong, diverse, and effective legal profession;
• Increasing public understanding of citizens’ legal rights and duties;
• Promoting and maintaining adherence to the professional principles of independence and integrity; proper standards of work; observing the best interests of the client and the duty to the court; and maintaining client confidentiality.

Question 13

How responsibility is split between firms and individuals in relation to compliance with regulatory arrangements from individual regulators?

Answer 13

Firms are primarily responsible for ensuring compliance with regulators and individuals within those firms are responsible for their own conduct

Question 14

What are the areas subject to regulation by individual regulators?

Answer 14

Education and training requirements, code of conduct, framework to practice and provision for disciplinary and enforcement action.

Question 15

True or false: Regulated individuals are subject to regulatory requirements only in respect of the reserved legal services they provide

Answer 15

False. Regulated individuals are subject to regulatory requirements in respect of all the legal services they provide

Question 16

What are the activities performed by Barristers?

Answer 16

Their primary role is to act as advocates in the criminal and civil courts. They also provide legal advice and draft documentation.

Question 17

Can Barrister be directly instructed by clients?

Answer 17

Only in some civil cases

Question 18

What reserved legal activities are authorised by the Bar Standards Board

Answer 18

All except notarial activities.

Question 19

Can chartered legal executives work independently?

Answer 19

No, they need to be supervised by solicitors. They can be involved in ownership of a firm

Question 20

What reserved legal activities are authorised by Cilex Regulation?

Answer 20

All except notarial activities

Question 21

What is the regulator for licensed conveyancers?

Answer 21

Council for Licensed Conveyancers

Question 22

What are licensed conveyancers responsible for?

Answer 22

Deal with property transactions

Question 23

What are the reserved instrument activities that can be authorised by the Council for Licensed Conveyancers?

Answer 23

Performance of reserved instrument activities, private activities and administration of oaths

Question 24

What is the regulator for patent attorneys and trade mark attorneys?

Answer 24

The intellectual property regulation board

Question 25

What are the reserved legal activities that can be authorised by the Intellectual Property Regulation Board for patent and trade mark attorneys?

Answer 25

All reserved legal activities except probate and notarial activities

Question 26

What are the activities performed by costs lawyers?

Answer 26

Prepare bills and costs estimates, appear before the court when cost are assessed and attend case management conferences.

Question 27

Who is the approved regulator for costs lawyers?

Answer 27

Costs Lawyers Standard Board

Question 28

What activities can be authorised by the Costs Lawyers Standard Board

Answer 28

Exercise rights of audience, conduct litigation and administer oaths

Question 29

Who appoints notaries?

Answer 29

The Archbishop of Canterbury

Question 30

Who is the approved regulator for notaries?

Answer 30

The Master of the Faculties

Question 31

What reserved legal activities can be authorised by the Master of the Faculties?

Answer 31

All reserve legal activities except exercising rights of audience and conducting litigation

Question 32

What is the entity responsible for authorising chartered accountants?

Answer 32

The Institute of Chartered Accountants.

Question 33

What activities are subject to the Institute of Chartered Accountants ‘ authorisation?

Answer 33

Probate activities

Question 34

Provide some examples of unregulated legal services providers

Answer 34

Will writing, family law advice and employment law advice

Question 35

What are the requirements that apply to a freelance solicitor carrying out reserved legal activities?

Answer 35

Three years post-qualification experience

Must not hold client money

Must take out and maintain adequate and appropriate insurance (but are not subject to the SRA’s minimum requirements)

Must notify the SRA that is acting as a freelancer solicitor