PROVIDING SERVICES TO THE PUBLIC

Question 1

Most firms will choose to give the information below to the client in a retainer letter, sent out at the beginning of a matter, which has become known as the ‘client care’ **letter. The SRA does not prescribe that such a letter is
sent, but most firms consider this to be the most practical way to impart the information required by the SRA.

Answer 1

1. identify the client
2. INFORMING CLIENT OF REGULATION
3. KEEPING CLIENT INFORMED ABOUT THE MATTER
4. Informing Client of Right to Complain
5. TRANSPARENCY RULES

Question 2

INFORMING CLIENT OF REGULATION

Answer 2

1. You must inform clients whether and how the services you
   provide are regulated and how this afects the protection available to the client.
2. You also must ensure that you do not incorrectly represent that a business or employer (in-cluding any of your separate businesses) is regulated by the SRA when it is not authorised by the SRA.

Question 3

KEEPING CLIENT INFORMED ABOUT THE MATTER

Answer 3

1. about legal services
2. about pricing and costs

Question 4

information about legal services

Answer 4

You must give clients information in a way they can under-
stand, and you must ensure they are in a position to make
informed decisions about the services they need, how their matter will be handled, and the options available to them.

Exam Tip
Look out for a scenario where a solicitor’s frm indicates
in response to a complaint that it has sent a detailed
letter of advice to a client. If the client states that they
have not understood the letter, this part of the Code will be breached.

Question 5

information about pricing and cost

Answer 5

You must ensure that clients receive the** best possible** infor-mation about how their matter will be priced. Additionally, cli-ents must receive the best possible information, both at the
time of engagement and when appropriate as their matter progresses, about the likely overall cost of their matter and any costs incurred.

Exam Tip
You may have a scenario in the exam where the solicitor has taken on a complex probate or commercial matter.
It will usually not be suffcient for the client care letter to state that the solicitor will charge, say, £200 plus VAT per hour. The solicitor must give an estimate as to the time it is likely to take.

Exam Tip
The likelihood of the client having to pay someone else’s legal fees is mostly relevant to litigation (court) matters.
The risk-beneft analysis of weighing up the likely amount recovered in any proceedings against the likely cost of
paying their own legal fees and those of the other side if they lose is key advice at the beginning of any litigation
matter.

Question 6

COMPLAINTS HANDLING
Informing Client of Right to Complain

Answer 6

At the time of engagement, you must inform the client in writing of:
*Their right to complain to you about your services and
your charges;
*How and to whom complaints can be made; and
*Any right they have to make a complaint to the Legal
Ombudsman (LeO) and when they can make any such
complaint.

Question 7

Eight Weeks Following Complaint

Answer 7

1. Where a client’s complaint has not been resolved to the client’s satisfaction** within eight weeks** following the making of the complaint, you must ensure that the client is informed, in writing, of any right they have to complain to the LeO, the
   time frame for doing so, and full details of how to contact the LeO. **
2. Additionally, if your complaints procedure has been exhaust-ed after this eight-week period, you must inform the client:
   *That you cannot settle the complaint;
   *Of the name and website address of an alternative dis-pute resolution approved body which would be competent to deal with the complaint; and
   *Whether you agree to use the scheme operated by that body.

Question 8

Handling Complaints

Answer 8

All client complaints must be dealt with promptly, fairly, and free of charge.

Exam Tip
You may be given a scenario in the exam where a firm deals with a client’s complaint, but it takes the frm sixmonths to do it. In this instance the firm would not have met this requirement as the complaint would not have been dealt with ‘promptly’.

Question 9

PUBLICITY

Answer 9

You must ensure that any publicity in relation to your practice (including that relating to your charges and the circumstanc-
es in which interest is payable by or to clients) is** accurate
and not misleading**.

Question 10

PUBLICITY
Unsolicited Approaches

Answer 10

Public advertising (such as on billboards, on the radio, online, or on a social media platform) is generally allowed. However, you must not make unsolicited approaches to members of the public in order to advertise legal services provided by you, your business, or your employer.
This means that you cannot advertise your services in a targeted or intrusive way (for example, calling people on the telephone or by other means that target them individually).

Exception
You may approach current and former clients to advertise your legal services.

note: leaflet is allowed as long as it is not traged at a specific grouup of individual (such as only to those living in rich area)

Question 11

TRANSPARENCY RULES

Answer 11

If a regulated frm has a website, the Rules require that the firm must display** prices and service information** if they publish that you work in any of the following areas:
*Conveyancing (residential);
*Probate (uncontested);
*Motoring offences (summary ofences);
*Immigration (excluding asylum);
*Employment tribunals (unfair/wrongful dismissal);
*Debt recovery (up to £100,000); or
*Licensing applications (business premises).

Question 12

TRANSPARENCY RULE
Price information must be presented in a clear and easy to understand format. The frm must also:

Answer 12

*Provide a total cost; if this is not possible, provide an
average or range of costs;
*Explain the basis of the charges, including any hourly
rate or fxed fees;
*Highlight likely disbursements, and their costs;
*Be clear on whether VAT is included; and
*For conditional or damages-based fees, explain when
clients may have to make payments.

Question 13

TRANSPARENCY RULE
For service information frms must:

Answer 13

*Explain what services are included for the quoted price;
*Highlight any services not included within the price,which a client may reasonably expect to be included;
*Include information on key stages and typical timescales
*Publish the qualifcations and experience of anyone car-
rying out the work and of their supervisors.

In addition, frms must display a digital badge on their web-site to indicate to consumers that they are regulated and
which will provide a link to information on the protection for consumers that this provides.**