Regulation

Question 1

What must the solicitor inform the client of IN WRITING at the time of engagement?

Answer 1

• right to complain about services and charges
• how/to whom to complain
• right to complain to Legal Ombudsman and when

Question 2

If a complaint is not resolved satisfactorily within 8 weeks, the solicitor must inform the client in writing:

Answer 2

• of the right to complain to the Ombudsman and how
• if the complaints procedure is exhausted:
  
  • the solicitor can’t settle it
  • name and website of ADR body
  • whether solicitor agrees to use ADR

Question 3

How must complaints be dealt with?

Answer 3

Promptly, fairly, and for free

Question 4

When can the client use the Ombudsman?

Answer 4

• if the solicitor’s complaint system doesn’t provide satisfactory solution within 8 weeks
• exceptional circumstances
• irretrievable breakdown of relationship between client and solicitor

Question 5

Time limit for bringing a complaint to the Ombudsman

Answer 5

1 year from act/omission, or 1 year from when client reasonably should’ve known there was cause
Ombudsman can extend it

Question 6

What can the Ombudsman direct the solicitor to do?

Answer 6

• apologise,
• pay compensation with interest,
• ensure correction of error (50k cap),
• take specified action (50k cap),
• pay complainant for pursuing the complaint,
• limit solicitor’s fees/demand refund

Question 7

SRA Assessment Threshold test for whether to investigate a breach of professional conduct

Answer 7

1. was there a potential breach?
2. is it sufficiently serious?
3. can it be proven?

Question 8

Enforcement actions SRA may take:

Answer 8

• no further action
• financial penalty (max. 25k)
• control solicitor’s practice
• refer matter to Solicitors Disciplinary Tribunal (SDT)

Question 9

Where can a party appeal to from the Solicitors Disciplinary Tribunal (SDT)?

Answer 9

Administrative Court

Question 10

How must may the SRA Compensation Fund pay out per claim?

Answer 10

Max. 2m per claim

Payment isn’t made automatically!

Question 11

Which SRA Principles prevail if there’s a conflict between them?

Answer 11

Those safeguarding public interest prevail over those protecting the interests of an individual client

Question 12

What is the SRA’s test for dishonesty?

Answer 12

1. what was the solicitor’s knowledge/belief as to the facts?
2. in view of this, was the conduct dishonest by the standard of ordinary, decent people?
   OBJECTIVE TEST!