Regulation of Legal Services Flashcards

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1
Q

Can a range of professionals provide legal services

A

Yes

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2
Q

What does legal services mean

A

Umbrella of advice, help, representation for legal matters

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3
Q

Where is the framework for regulation of legal services found

A

Legal Services Act 2007

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4
Q

What are the 6 reserved legal activities

A
  1. Rights of audience
  2. Conduct of Litigation
  3. Reserved Instrument Activities
  4. Probate Activities
  5. Notarial Activities
  6. Administration of Oaths
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5
Q

What does conduct of litigation include

A

Issuing proceedings
Commencing proceedings
Ancillary tasks for proceedings

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6
Q

What is included as reserved instrument activities

A

Lodging formal legal documents
Transfer/charge or registration of land
Instruments re court proceedings

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7
Q

What is not included as a reserved instrument activity

A

Drafting wills
Drafting agreements (not ones executed as a deed)
Drafting a letter of POA

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8
Q

What are probate activities

A

Preparing grant of probate & letters of administration & documents to oppose the same

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9
Q

What are notarial activities

A

Certifying documents in accordance with the Public Notaries 1801

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10
Q

What is the administration of oaths

A

Power to take oaths & swear affidavits

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11
Q

Can non reserved activities be carried out by unregulated individuals

A

Yes

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12
Q

Is an authorised person subject to regulatory requirements of approved regulator

A

Yes

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13
Q

Who is exempt from authorisation to carry out regulated activities

A

If court grants them rights of audience or ability to conduct litigation.
By virtue of statutory provisions
Party to proceedings
McKenzie friend

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14
Q

What does the SRA regulate

A

Solicitors & Law Firms

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15
Q

What are the three requirements to practise as a solicitor

A

Education & Suitability
Admitted to the roll
Obtains practising certificate

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16
Q

When carrying on reserved legal activities where are solicitors usually providing their services

A

Through an authorised law firm

17
Q

Who are the 3 types of bodies that can be authorised to provide legal services

A

Recognised bodies
Licensed bodies
Recognised sole practice

18
Q

What are the 7 SRA Principles

A
  1. Upload ROL & AOJ
  2. Public trust & confidence in profession
  3. Independence
  4. Honesty
  5. Integrity
  6. Encourage equity, diversity & inclusion
  7. Best interests of client
19
Q

What is the risk based regulation

A

Model assessing risk

20
Q

How is risk evaluated under the risk based regulation

A

Impact & Probability

21
Q

What does impact refer to under the risk based regulation

A

What is at risk

22
Q

What does probability refer to under the risk based regulation

A

How likely it is that an event will occur

23
Q

What is PII

A

Insurance to cover a loss or damage

24
Q

Who needs PII

A

All authorised bodies

25
Q

What is the minimum PII coverage

A

Recognised and licensed bodies
£3million

All others £2 million