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Legal Services > Providers of legal services > Flashcards

Providers of legal services Flashcards

1
Q

6 types of reserved legal activities

A
  1. exercise of a right of audience
  2. conduct of litigation
  3. reserved instrument activities
  4. probate activities
  5. notarial activities
  6. administration of oaths
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2
Q

What do “reserved instrument activities” entail?

A

preparing/lodging legal documents:
- dealing with transfers of/charges over land,
- relating to real/personal estate,
- relating to court proceedings
BUT: some documents are excluded (wills, power of attorney…)

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3
Q

Who can carry out reserved legal activities?

A

Those authorised by an approved regulator, or exempt

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4
Q

Who is the approved regulator for solicitors?

A

Law Society
BUT: regulatory function carried out by SRA

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5
Q

What is the consequence of not being authorised/exempt?

A

Criminal offence: up to 2 years in prison, and contempt of court if the activity was the right of audience/conducting litigation

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6
Q

Who approves legal services regulators?

A

Legal Services Board (LSB)

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7
Q

Aims of SRA’s regulation

A
  • protect consumers, and
  • support the rule of law and administration of justice
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8
Q

Which businesses are eligible for SRA authorisation?

A
  • recognised sole practices,
  • recognised bodies,
  • licensed bodies
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9
Q

What is a recognised body?

A

“legal services body”:
- 75% or more of managers must be legally qualified, and hold at least 75% of shares and voting rights
- at least 1 manager must be solicitor
- non-legally qualified managers are SRA-approved

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10
Q

What is a licensed body?

A

“alternative business structure”:
- at least 1 manager must be SRA-authorised (or by other approved regulator),
- must be a licensable body (non-authorised person is its manager or has an interest in it by holding shares/voting rights, OR another body is its manager/interest holder and non-authorised persons exercise at least 10% of voting rights in it)

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11
Q

Which officers must authorised bodies have?

A

Compliance officer for legal practice (COLP) + compliance officer for finance and administration (COFA)

BUT: licensed bodies have HOLP and HOFA instead!

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12
Q

What’s the SRA’s approach to regulation and authorisation?

A

Risk-based

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13
Q

Requirements for being a qualified solicitor

A
  • being admitted as solicitor,
  • have name on the Roll,
  • have practicing certificate issued by Law Society
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14
Q

2 parts of SRA assessment for being admitted as a solicitor

A

Part 1: overriding need to protect public interest and trust
Part 2: considers criminal and other conduct

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15
Q

Types of conduct the SRA considers

A

Most serious- refusal likely (fraud, dishonesty, violence, obstructing justice…)
Serious- refusal possible (caution or conviction for other crimes)
Other conduct- discretionary (plagiarism, bankruptcy…)

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16
Q

What information must one disclose to the SRA in its investigation before admitting you?

A

All material information

17
Q

Which reserved legal activities can SRA-authorised solicitors carry out?

A

All, except notarial

18
Q

How often must practicing certificates be renewed?

A

Annually

19
Q

SRA’s indemnity insurance rules requirements:

A
  • must use a participating, FCA-regulated insurer,
  • recognised/licensed bodies must insure a sum of at least 3m
  • other bodies must insure a sum of at least 2m
20
Q

General rule on size of indemnity insurance under SRA rules

A

it must be “adequate and proportionate” (so, possibly higher than the minimum set)

21
Q

Where to bring claims under the Equality Act?

A

employment claims- in employment claims tribunal
other claims- County Court

22
Q

9 protected characteristics under the Equality Act

A
  1. race,
  2. religion + belief,
  3. sex,
  4. sexual orientation,
  5. age,
  6. disability,
    7.gender reassignment,
  7. marriage/CP,
  8. pregnancy/maternity
23
Q

When is a person disabled?

A
  1. have a physical/mental impairment,
  2. which has a substantial and long-term effect on their ability to carry out normal everyday activities
24
Q

Requirements to be a protected “belief”- must be:

A
  • genuinely held,
  • nor a mere view,
  • related to a substantial part of human life,
  • attain a certain level of cogency,
  • be worthy of respect
25
Q

Prohibited conduct under the Equality Act

A
  • direct discrimination
  • indirect discrimination
  • disability discrimination
  • victimisation
  • harassment
26
Q

When can indirect + disability discrimination be justified?

A

If it is a proportionate means of achieving a legitimate aim

27
Q

When does victimisation occur?

A

When A subjects B to a detriment because:
- B does a protected act, or
- A believes B did/may do a protected act

28
Q

What is a protected act for the purposes of victimisation?

A
  • bringing proceedings under Equality Act
  • giving evidence/information in such proceedings,
  • doing anything related to the Equality Act
  • alleging someone breached the Equality Act
29
Q

When does harassment occur?

A

When A is subjected to a form of unwanted conduct violating her dignity, or creating an intimidating/hostile/degrading environment for A

Unwanted conduct means:
- relating to protected characteristic (except pregnancy + marriage),
- be of sexual nature, or
- be of sexual nature/related to gender reassignment/sex and result in less favourable treatment

30
Q

3 positive duties to make adjustments under Equality Act

A

Take reasonable steps to:
- avoid disadvantage caused by a provision/criterion/practice,
- avoid disadvantage caused by physical features, and
- provide auxiliary aid of not granting it creates a substantial disadvantage (more than trivial)

31
Q

What must solicitors as service provides do under the Equality Act?

A

Anticipate needs and make adjustments before the disabled person must ask for them

32
Q

Do solicitors have to anticipate the needs of employees under the Equality Act?

A

No- must only make adjustments once become aware of the disability

33
Q

What compensation is available if solicitors breach the Equality Act as service providers, and as employers?

A

As service providers: unlimited compensation (usually for injury to feelings)
As employers: unlimited compensation (usually to put C in position as if discrimination hadn’t happened)

34
Q

When may employers discriminate based on a protected characteristic?

A

If they can show that due to the nature of the job, only those with some protected characteristic can do it
It must be a proportionate means of achieving a legitimate aim

35
Q

When is positive action lawful under the Equality Act?

A
  1. if the firm reasonably thinks people with a protected characteristic suffer a disadvantage/have different needs/participate little, and
  2. the action taken is proportionate to minimise the disadvantage/meet needs/enable participation
36
Q

When can a person with a protected characteristic be prioritised in recruitment under the Equality Act?

A

If that characteristic is under-represented at the firm, and the person is equally qualified (used as a “tie-breaker”)

Legal Services (5 decks)

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