Regulators Flashcards
What power does the SRA have?
A) Strike off a solicitor
B) Impose fines on solicitors
C) Award compensation to clients
D) Represent solicitors in disputes
B) Impose fines on solicitors
Explanation: The SRA regulates solicitors and can fine them, issue warnings, and restrict practice, but only the SDT can strike a solicitor off.
If a solicitor is guilty of serious misconduct, which body deals with disciplinary proceedings?
A) The Legal Ombudsman
B) The Law Society
C) The Solicitors Disciplinary Tribunal (SDT)
D) The Legal Services Board
C) The Solicitors Disciplinary Tribunal (SDT)
Explanation: The SDT handles serious breaches of professional conduct, including striking off and suspending solicitors.
A client complains about delays in their case and poor communication from their solicitor. They want compensation. What is their best course of action?
A) Complain to the Law Society
B) Take the case to the Solicitors Disciplinary Tribunal
C) Complain to the Legal Ombudsman
D) Report the solicitor to the SRA
C) Complain to the Legal Ombudsman
Explanation: Poor service issues (e.g., delays, communication failures) should first go through the law firm’s complaints procedure. If unresolved, the Legal Ombudsman can order compensation.
A solicitor has been found guilty of dishonesty and serious breaches of professional conduct. What is the most severe sanction they could face?
A) A fine from the SRA
B) A reprimand from the SRA
C) A suspension from practice by the SRA
D) Being struck off by the SDT
D) Being struck off by the SDT
Explanation: The SDT deals with serious misconduct, and the most severe sanction is striking off, meaning the solicitor can no longer practice.
A small business disputes an excessive legal bill from a solicitor. They refuse to reduce it. What is the best course of action?
A) Refer the dispute to the Legal Ombudsman
B) Take the case to the Solicitors Disciplinary Tribunal
C) Contact the Law Society for support
D) Report the firm to the SRA for overcharging
A) Refer the dispute to the Legal Ombudsman
Explanation: The Legal Ombudsman can handle complaints about legal fees if the law firm’s internal complaints process fails.
A solicitor has been repeatedly overcharging clients and misusing client funds. The SRA investigates and believes the solicitor is a risk to the public. What can the SRA do?
A) Strike the solicitor off the roll immediately
B) Close down the solicitor’s firm and refer them to the SDT
C) Fine the solicitor and order them to apologise
D) Require the solicitor to repay the overcharged fees
B) Close down the solicitor’s firm and refer them to the SDT
Explanation: The SRA has the power to close down firms and refer serious cases to the SDT, which can impose striking off.
A solicitor receives a complaint about negligence in handling a case. The client wants disciplinary action taken. Which is the correct body to complain to?
A) Legal Ombudsman
B) SRA
C) SDT
D) Law Society
B) SRA
Explanation: Negligence might be a professional misconduct issue, so the SRA investigates first. If serious, it can be referred to the SDT.
A solicitor’s firm is investigated by the SRA for fraudulent activities. The SRA imposes restrictions on the firm’s practice. The firm ignores the restrictions and continues operating as before. What is the most severe action the SRA can take?
A) Issue a further warning
B) Impose a higher fine
C) Refer the firm to the SDT
D) Revoke the firm’s recognition and close it down
D) Revoke the firm’s recognition and close it down
Explanation: The SRA can close firms in serious cases, especially if they ignore regulatory restrictions.
