Regulatory and Legal Environment Flashcards
Who do the Legal Services Board regulate?
All lawyers in England and Wales
Who does the SRA regulate?
All solicitors, law firms and individuals who work for businesses authorised by the SRA
What does the Law Society do?
Represents solicitors in England and Wales to the public and supports them in their careers and practice.
What is the first step in the complaints procedure for a client?
The law firm they received advice from. The SRA requires every firm to have a complaints procedure.
If a firm’s internal complaints procedure is exhausted, who should a client refer their complaint to?
Legal Ombudsman, who can require the solicitor to apologise, pay compensation, limit fees or take specific action.
Can the Legal Ombudsman discipline or fine a lawyer?
No!
What power does the SRA have in relation to a complaint concerning misconduct, dishonesty or breaches of the SRA’s rules?
They have the power to issue warnings, fines, restrictions and close down a firm.
What is the Solicitors Disciplinary Tribunal (SDT) and what are their powers?
The SDT is an independent statutory body which deals with serious breaches of the SRA’s rules. Their powers include suspending/striking off a solicitor, imposing fines, awarding costs but they do not have the power to award compensation.
Outline the seven SRA Principles which individuals and firms are required to act in accordance with.
- in a way that upholds the constitutional principle of the rule of law and proper administration of justice
- in a way that upholds public trust and confidence in the solicitors’ profession and in legal services
- with independence
- with honesty
- with integrity
- in a way that encourages EDI
- in the best interests of each client
If the Principles come into conflict, which Principles take priority?
The Principles which safeguard the wider public interest take priority over the interest of an individual client.
What is the Code of Conduct for Solicitors (CCS)?
CCS sets out the standards that the SRA and the public expect from individuals authorised by the SRA to provide legal services, including solicitors, paralegals and apprentices.
Individuals are personally responsible for compliance with CCS.
What do the following state:
CCS 1.1
CCS 1.2
CCS 1.4
-Do not unfairly discriminate
-Do not take unfair advantage
-Do not mislead others
What does The Equality Act 2010 do?
The Act aims to protect people from discrimination in the workplace and in wider society against a range of protected characteristics.
What are the protected characteristics under The Equality Act 2010?
-age
-disability
-gender reassignment
-marriage and civil partnership
-pregnancy and maternity
-race
-religion/beliefs
-sex
-sexual orientation
What is direct discrimination under The Equality Act 2010 and provide an example?
This occurs where because of a protected characteristic, A treats B less favourably than A treats or would treat others (s13(1) Equality Act 2010).
An example would be a club organising salsa evenings deletes a woman from their list when they realise she is pregnant, on the assumption she will not want to come during her pregnancy.
What is indirect discrimination under The Equality Act 2010 and provide an example?
This is concerned with acts, decisions or policies which are not intended to treat anyone less favourably, but which have the effect of disadvantaging a group of people with a protected characteristic.
A classic example is an employer requiring an employee to work full-time, which could disadvantage women as a group since women in society as a whole bear a greater part of domestic/childcare responsibilities.
What is harassment under The Equality Act 2010 and provide an example?
A harasses B if A engages in unwanted conduct related to a relevant protected characteristic which has the purpose or effect of either violating B’s dignity or creating an intimidating, hostile, degrading or humiliating environment.
An example would be two male shop assistants loudly commenting on the size of a female shopper’s breasts.
What is victimisation under The Equality Act 2010 and provide an example?
This occurs where A subjects B to a detriment because either B has done a protected act or A believes B has done, or may do, a protected act.
An example of victimisation would be a publican banning a gay man from his pub after the gay man sues for discrimination on the basis the publican makes persistent derogatory remarks about his sexuality.
What are the protected acts under the Equality Act 2010?
-bringing proceedings under The Equality Act 2010
-giving evidence or information in connecting with proceedings under the Act
-doing any other thing for the purposes of or in connection with the Act
-alleging that A or another person has contravened the Act
What does S29 Equality Act 2010 state?
A person concerned with the provision of a service to the public or a section of the public must not discriminate against a person requiring the service by not providing the person with the service.
Outline the scope and nature of the duty to make reasonable adjustments under The Equality Act 2010.
This duty aims to make sure that a disabled person can use a service as close as it is reasonably possible to get to the standard usually offered to non-disabled people. The duty is anticipatory, meaning a service provider must think in advance about what disabled people might reasonably need. The duty contains three requirements:
-changing the way things are done
-making changes to overcome barriers created by physical features
-providing extra aids and services
What is an undertaking?
A statement, given orally or in writing, whether or not it includes the word ‘undertake’ or ‘undertaking’ to someone who reasonably places reliance on it, that you or a third party will do something or cause something to be done, or refrain from doing something.
What does CCS 1.3 outline in relation to undertakings?
You must perform all undertakings given by you, and do so within an agreed timescale or if no timescale has been agreed then within a reasonable amount of time.
What must a solicitor do if they later become aware they have misled the court?
A solicitor would not normally be guilty of misconduct if they inadvertently misled the court. If the solicitor later becomes aware of this, they must with their client’s consent, immediately inform the court. If the client does not consent, the solicitor must stop acting for that client.
