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SQE1 Professional Conduct > Regulation of Legal Services > Flashcards

Regulation of Legal Services Flashcards

1
Q

SRA Principles

A

Act:
1. In way that upholds the rule of law and proper administration of justice.
2. Upholds public confidence in profession
3. with independence
4. honesty
5. integrity
6. encourages equality, diversity, and inclusion
7. in each client’s best interests

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2
Q

When might a solicitor w/ out Higher Rights of Audience Qualification appear in the Crown Crown on behalf of his client?

A

where it is an appeal, and a solicitor acted in the original trial.

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3
Q

List of reserved legal activities (s.12, LSA 2007)

A
  • the exercise of a right of audience;
  • the conduct of litigation;
  • reserved instrument activities (execute formal documents)
  • probate activities;
  • notarial activities;
  • the administration of oaths.
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4
Q

Which legal documents would not be considered as engaging in a reserved instrument activity when prepared?

A
  • wills and other testamentary documents
  • agreements not intended to be executed as deeds
  • letter or power of attorney
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5
Q

What tasks are considered reserved legal activities for the ‘conduct of litigation’?

A
  • issuing proceedings
  • commencing, defending, or prosecuting in such proceedings,
  • carrying out of ancillary tasks related to such proceedings (ie. drafting document that is then submitted to court)
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6
Q

What reserved legal activity can the SRA not authorise to carry to out?

A

Notarial activities

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7
Q

How often must a solicitor apply to renew their practicing certificate?

A

Annually

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8
Q

What are the consequences of acting as a solicitor without a practicing certificate?

A

Criminal Offence

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9
Q

Does a solicitor only require a practicing certificate if it intends to carry on reserved legal activities?

A

NO - requirement irrespective of whether solicitor intends to carry on reserved legal activities.

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10
Q

What types of reserved legal activities can chartered legal executives provide (CILEX)?

A

All - except notarial activities

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11
Q

What types of reserved legal activities can Licensed Conveyancers provide?

A

Reserved instrument activities, probate activities, and administration of oaths

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12
Q

What types of reserved legal activities can Trademark attorneys (IPRB) provide?

A

All - except probate and notarial activities.

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13
Q

What types of reserved legal activities can Barristers (BSB) provide?

A

All - except notarial activities

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14
Q

What types of reserved legal activities can Chartered Accountants (Institute of C.A) provide?

A

Only probate activities

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15
Q

What types of reserved legal activities can notaries (Master of Faculties) provide?

A

All except (i) rights of audience and (ii) conduct of litigation.

Only body that can authorise notarial activities.

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16
Q

Does a solicitors only need to comply with the SRA’s Regulations and Code of Conduct when carrying out reserved activities?

A

NO - must comply with these even when providing non-reserved activities.

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17
Q

Legal Services Board

A

Body responsible for overseeing and monitoring legal services providers and regulatory bodies.

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18
Q

When is a non-authorised person able to carrying out a reserved legal activity? (s.19, LSA)

A

Exempt if:
- party to proceedings
or acting as McKenzie friend
- granted permission by court to exercise right of audience with regards to specific proceedings.
- empowered by statutory provision
- assisting in conduct of litigation under instructions and supervision of authorised person (ie. paralegal)

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19
Q

To carry on a reserved legal activity, what two conditions must an individual solicitor satisfy?

A

1) Have valid practicing certificate.
2) carry on all reserved legal activities via authorised body

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20
Q

Can an individual solicitor carry out reserved legal activities on their own account?

A

Possible as a freelance solicitor, BUT still needs to either:
- Be authorised as a recognised sole practice; or
2) Only provide reserved legal activities through an authorised body

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21
Q

Key limitation on in-house solicitors carrying out reserved legal activities

A

Cannot offer such services to general public. Only insofar as these concern their employer.

22
Q

Can a solicitor working for an NGO (non-commercial organisation) provide reserved legal activities to public?

A

Yes

23
Q

Three exceptions where reserved legal activities do not need to be provided through authorised body

A
  • In-house lawyer
  • Non-commercial organisations
  • Freelance solicitors - if registered as recognised sole practice
24
Q

How does the SRA describe its regulatory approach?

A

Risk-based

25
Q

Aim of risk-based regulation

A

Assess risk’s
1) Impact (or likelihood); and
2) Probability of materialising

26
Q

Aim of professional indemnity insurance

A

ensure that insured party can cover costs of litigation and damages should breach of professional duty arise

27
Q

What is the minimum threshold (MTC) of professional indemnity insurance required under SRA’s rules?

A

Amount must be adequate and appropriate.
- Recognised and licensed bodies - minimum £3 million.
- All other cases at least £2 million

28
Q

What key factors should a firm consider when determining whether the value of their indemnity insurance complies with the SRA’s rules?

A
  • Case-by-case basis, depending on nature of work undertaken.
  • type and number of clients
  • possible value of any claim liabilities
  • history of claims against it
  • whether alternative arrangements are in place to meet liabilities
29
Q

What is a solicitor carrying out a reserved instrument activity tasked with completing?

A

Preparing instruments relating to real and personal estate transactions (e.g. conveyancing situations)

30
Q

Would a solicitor still be considered a sole practitioner if they employed other qualified solicitors to work alongside them?

A

Yes - so long as they are not partners/co-owners

31
Q

Recognised body

A

legal services body authorised by SRA where all managers and interest holders are legally qualified

32
Q

Licensed-body

A

comprised both qualified and non-lawyers.
- Must have at least one manager that is authorised by SRA or other approved regulator.
- can also provide reserved legal activities to public.

33
Q

Does professional indemnity insurance still be undertaken if a solicitor is undertaking pro-bono work?

A

Absolutely - still needs to comply with SRA Indemnity Insurance Rules

34
Q

Sole practice

A

Practice operated by a sole principal.

Can employ several qualified solicitors, as long as those solicitors are not also principals.

35
Q

Role of the COLP

A

Stands for Compliance Officer for Legal Practice
- deals with ensuring firm acts in accordance with statutory obligations, and reports any such failings to the SRA ASAP.

36
Q

Role of the COFA

A

Stands for Compliance Officer for Finance and Administration
- deals with ensuring compliance and reporting any breaches of SRA Account Rules to SRA ‘promptly’

37
Q

Do you have to be authorised to carry on reserved legal activities to serve as a COFA?

A

NO - only required for the COLP.

38
Q

Does the SRA have to approve firm’s choice of managers?

A

Yes (AFR 9.1) - unless exception applies

1) Authorised sole practitioner

2) Where SRA is satisfied that a manager is not involved in:
- firm’s day to day strategic management
- ensuring compliance with the SRA’s regulatory arrangements; or
- reserved legal activities

39
Q

Can a firm appoint a non-lawyer to serve as manager?

A

Yes - but cardinal rule is that they should not responsible for the overall supervision of ‘reserved’ legal activities.

40
Q

Do COLPs and COFAs have sole responsibility for compliance?

A

No.

  • ultimately the responsibility rests w/ firm’s managers
  • their responsibility is joint and several. (CCF, 8.1)
41
Q

Under the SRA’s Transparency rules, what information must an authorised body publish/make available on its website?

A

Rules require publishing of certain costs information on Firms’ websites. Comprised of:

1) basis for the firm’s charges.

2) details of what services are included in the price displayed.

3) whether any fees or disbursements attract VAT + relevant amount.

4) experience and qualifications of anyone carrying legal work, and their supervisors (but not every employee!)

42
Q

Are firms obliged to send out client care letter?

A

Not an SRA requirement, but good practice.
- ensures compliance w/ CCS 8.7, which requires solicitors to ensure that clients are well-informed about pricing and how they matter will be handled etc.

43
Q

What condition must a lawyer satisfy to supervise work undertaken by their firm?

A
  • Practiced as a lawyer for a minimum of three years in England & Wales.
44
Q

Do Costs Lawyers need to be regulated by the SRA?

A

No, they can be subject to regulation by Costs Lawyers Standards Board.
- allowed to exercise rights of audience, conduct of lititgation, and administer oaths.

45
Q

Can a SRA-regulated lawyer carry notarial activities?

A

No, the only regulator that can authorise notarial activies is the Master of Faculties.

46
Q

Are non-lawyers employed at a SRA-regulated firm subject to its Conduct rules?

A

Yes - as long as ‘non-authorised’ person is an employee at the firm, rather than an outsourced consultant, they also be displined and sanctioned by the Solicitor Disciplinary Tribunal.

47
Q

Do pro-bono law centres required SRA authorisation?

A

Yes, if they provide reserved legal activities.

48
Q

Which courts can solicitors carry out advocacy without higher rights of audience?

A

Magistrates’ Court, County Court, Tribunals and Appeal Tribunals.
- also where solicitor was ie. representing client in Magistrate’s court, can represent them on appeal in Crown Court.

49
Q

Where a solicitor’s conduct amounts to a potential regulatory breach, to whom should it be reported and by whom?

A

A solicitor must report his own conduct to their firm’s COFA or COLP or directly to the SRA.

50
Q

If a firm is unable to renew its professional indemnity insurance, can it carry on acting for clients?

A

Continue practicing for up to 90 days, which is the period of time insurance would still be obliged to cover.

Extended Policy Period - up to 30 days where firm can continue to take on new clients and provide, whilst attempt to find new insurance.
- SRA must be notified within 5 business days of firm entering the EEP.

SQE1 Professional Conduct (6 decks)

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