Providers of Legal Services

Question 1

What are reserved legal activites?

Answer 1

Services that cannot be provided unless authorised by SRA - inc:

• Rights of audience (appear before court, call witnesses)
• Conduct of litigation (issuing proceedings before court)
• Reserved instrument activities (preparing instrument of transfer/charge relating to land)
• Notarial activities
• Probate activities

Question 2

Who can provide services that fall outside ‘reserved legal activities’?

Answer 2

Anyone without legal qualification

Question 3

What other general law framework applies to provision of legal services additionally?

Answer 3

• Equality Act 2000
• Anti-money laundaring laws

Question 4

Exercisie of right of audience

Answer 4

Reserved legal activity, inc right to appear before/address court & examine witnesses

Question 5

Conduct litigation

Answer 5

Reserved legal activity, incl:
* issuing of proceedings before court
* commensing, prosecutring and defending
* ancillary functions to proceedings

Media - Director of a company laid information before magistrates court = consitutes ‘commencing proceedings’. Carried out reserved legal activity whilist unauthorised - unlawful.

JK - online comp did not lodge docs with the court itself, merely assisted drafting & provided to husband & wife preping for divorce. Not engaged in litigation.

Question 6

Reserved instumental activities

Answer 6

Reserved legal activity, incl:
* contract for sale of land (charge)
* court proceedings docs

Excluding wills and powers of attorney

Question 7

Probate activities

Answer 7

Reserved legal activity, docs in relation to investigates assets and liabilities of a deceased

Question 8

Notarial activities

Answer 8

Reserved legal activity, i.e. authenticating certificates

Question 9

Administration of oath

Answer 9

Reserved legal activity, e.g. affidevit

Question 10

Do reserved legal activities need to be authorised?

Answer 10

YES!

Can only be carried out if authorised or exempt.

Question 11

What are the 3 key aspects of SRA’s role?

Answer 11

• Authorises firms and other bodies to provide legal services
• Sets and enforces standards for solicitor’s profession
• Main point of call for disciplinary matters relating to solicitors - can issue warnings, fine and revoke recognition

Question 12

Exemption from authorisation for right of audience?

Answer 12

If court authorises person in a particular case

Question 13

Exemption for probate activties from authorisation?

Answer 13

Exemption allows employee to act under supervision of an authorised person

Question 14

Exemption for charities/ indepdent trade unions/non-commercial organisations?

Answer 14

Yes

Question 15

What if a person carries out a ‘reserved legal activity’ without authorisation (not exempt)?

Answer 15

Criminal offence
2 years of imprisonment

Additionally if right of audience/conduct of litigation is carried out without authorisations = contempt of court.

Question 16

What is the role of Legal Services Board (LSB)?

Answer 16

• Resposible for overseeing regulation of all lawyers in E&W
• Control over regulatory bodies that directly regulate different types of lawyers
• Monitors the way in which regulators operate

Body can only act as regulation for legal services if approved by LSB

Question 17

LSB has a duty to promote regulatory objectives set in s.1 LSA 2007

Answer 17

• public interest
• rule of law
• consumers
• competition in legal services
• encouraging inpdedent, strong, diverse profession
• increasing public undertanding of citizen’s legal rights
• adherence to professional conduct
• prevention of economic crime

Question 18

Regulated legal activities can only be carried out by those authorised by an approved regulator.

Who are approved regulators?

Answer 18

• SRA
• Bar Standards Board (authorises baristers to do all reserved legal activties, except notarial)
• CLIEx Reg (chartered legal execs, authorises to do all reserved legal activties, except notarial)
• Countril for Liecenced Conveyancers (reserved insrtument activities, probate and administration of oath)
• IP Regulation Board (all reserved except probate and notarial)
• Costs Lawyers Standards Board (right of audience and conduct litigation and administer oath)
• Master of Faculties (notaries, all reserved legal activities exception right of audience and litigation)

Question 19

Are regulated individuals subject to regulatory requirements in respect of all legal services they provide?

Answer 19

YES, authorised provider of legal services is subject to regulation by their own regulator (eg SRA) in respect of ALL legal services they provide, not just those falling within definition of reserved legal activities.

Question 20

Can there be unregulated legal servies i.e.work outside of reserved legal activtity?

Answer 20

Yes, e.g. writing family/employment law advice.

Question 21

Can solicitor working in unregulated body be exempt and thus allowed to exercise reserved legal activity such as right of audience or conduct litigation?

Answer 21

Generally no, only if unregulated body is non-for-profit body or community-interest company

Question 22

What steps, if any, are solicitors required to take to ensure they are competent, after being admitted to the roll?

Answer 22

Under new regime of continued competence, all solicitors must record, reflect and continue their competence through a choice of activities to ensure that they are competent in their areas of law

Admission and continued professional competence are two seperate regulatory componenents