Regulatory role of SRA

Question 1

Key point

Answer 1

If the services fall within the definition of ‘reserved legal activities’ they can only be provided by those who are authorised to do so and who be subject to regulation

Question 2

Reserved legal activities - Definition

Answer 2

These are the type of legal work where there is the greatest risk to the public. A person must be authorised to carry out a particular reserved legal activity by a relevant approved regulator. 6 types

Question 3

Reserved legal activities - Types

Answer 3

1) Exercise of a right of audience
2) Conduct of litigation/issuing of court proceedings
3) Reserved instrument activities
4) Probate activities
5) Notarial activities
6) Administration of oaths

Question 4

The Law Society

Answer 4

The law society is the approved regulator for solicitors named in the legal services act but the regulatory function is carried out in practice by the SRA

Question 5

The legal services board

Answer 5

Responsible for overseeing the regulation of all lawyers. A body cannot act as a regulator for legal services under the legal services act unless approved by the legal services board

Question 6

The SRA

Answer 6

Regulation of solicitors. Underpinned by SRA principles, operates under the oversight of legal services board which has a duty to promote regulatory objectives.

Question 7

Risk-based regulation - Principle

Answer 7

In exercising its regulatory functions the SRA asses the risk to the SRA achieving its regulatory objectives.

Question 8

Risk-based regulation - What is risk?

Answer 8

Risk is a combination of the impact of a certain event occurring and the probability that the event will occur.

Question 9

Risk-based regulation - Risk identification

Answer 9

Covers: individual solicitors firm and profession-wide. The SRA can use a variety of measures to address the issues or reduct the risk.

Question 10

Authorisation of individuals

Answer 10

No person shall be qualified to act as a solicitor unless:
a) His name is on the roll
b) He has a practising certificate

Question 11

When you need a practising certificate

Answer 11

Solicitor’s will need this to carry on all reserved legal activities

Question 12

Freelance solicitor

Answer 12

A solicitor who works on their own. They are not required to be authorised as a recognised sole practitioner if their practice consists of entirely of carrying on activities which are not reserved legal activities

Question 13

Professional indemnity insurance

Answer 13

Necessary requirement for many professions - covers civil claims made against a solicitor in the course of their practice. It does not absolve them of liability just provides a fund for them

Question 14

Equality act - Protected characteristics

Answer 14

9 personal characteristics protected:
1) Race
2) Religion and belief
3) Sex
4) Sexual orientation
5) Age
6) Disability
7) Gender reassignment
8) Marriage/civil partnership
9) Pregnancy and maternity

Question 15

Equality act - Prohibited conduct - direct discrimination

Answer 15

CANNOT be defended or justified

Question 16

Equality act - Prohibited conduct - Discrimination disability

Answer 16

It is discrimination to treat a disabled person less favourably not only because of the individual’s disability itself but also because of something arising from or in consequence of that disability

Question 17

Equality act - Prohibited conduct - Indirect discrimination

Answer 17

Occurs where conditions are imposed which apply to everyone but which have the effect of prejudicing members of a particular group. There is the possibility go justifying the action on the basis that it is a proportionate means of achieving a legitimate aim

Question 18

When is discrimination unlawful?

Answer 18

Discrimination is only unlawful in certain contexts e.g legal services and in the workplace. If comments are made outside of this context then it’s not unlawful discrimination however it will still probably breach the rules of professional conduct

Question 19

Prohibited acts - Harassment

Answer 19

Unwanted conduct must: relate to a protected characteristic be of a sexual nature or relate to gender reassignment

Question 20

Duty to make adjustments

Answer 20

Imposes a positive duty to take steps to avoid unfairness occurring in the 1st place. This is an anticipatory duty

Question 21

Assessing whether adjustments are reasonable

Answer 21

In assessing whether the adjustments are reasonable, various factors will be considered e.g cost of making the adjustment, the nature of the service being provided and the size of the firm

Question 22

A firm’s vicarious liability

Answer 22

A firm can be vicariously liable but this only arises in respect of an act of discrimination which was committed by an employee in the course of their employment

Question 23

Barristers

Answer 23

Barristers are protected from discrimination by members of chambers or clerks. Barristers are protected from discrimination at the hands of solicitors - must not discriminate against a barrister, harass a barrister or victimise a barrister

Question 24

Positive duty

Answer 24

Firms have a positive duty to act to make sure someone’s not discriminated against or victimised

Question 25

What can an employment tribunal do?

Answer 25

An employment tribunal can order a firm to pay the applicant compensation for injury to feelings

Question 26

Continued competence

Answer 26

All solicitors must record, reflect and continue their competence by recording activities that will help deliver a proper standard of service

Question 27

Sexual orientation - Definition

Answer 27

Sexual orientation towards person of the same sex, persons of the opposite sex or persons of the same sex and the opposite sex

Question 28

Indirect discrimination - London Underground v Edwards

Answer 28

Employer has applied a new condition to the workplace that has potentially disadvantaged persons of one sex more than another