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Pupillage Ethics > Scope of Practice, Authorisation and Licensing Rules > Flashcards

Scope of Practice, Authorisation and Licensing Rules Flashcards

1
Q

when can you carry on any reserved legal activity?

A

only where you are entitled to do so under the LSA.

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2
Q

What is rule S6?

A

no practice without authorisation.

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3
Q

What is rule S7?

A

you must not permit any third party who is not authorised to provide reserved legal activities to provide such reserved legal activities on your behalf

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4
Q

what must you not permit a third party not authorised to provide reserved legal activities to do?

A

the provide any reserved legal activities on your behalf

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5
Q

What can you not do if you don’t have a practising certificate?

A

you may not practise as a barrister or a regsistered European lawyer or as a BSB entity and you are not authorised by the BSB to carry on any reserved legal activity.

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6
Q

When do you act as a barrister, registered European lawyer, BSB entity ?

A

If you are supplying legal services and:
1. you are an individual and you hold a practising certificate; or
2. you hold yourself out as a barrister or a registered European lawyer; or
3. you are an entity and you have been authorised or licensed to provide reserved legal activities; or
4. you act as a manager of, or have an ownership interest in, an authorised (non-BSB) body and as such you are required by the rules of that body’s Approve Regulator to hold a practising certificate issued by the BSB.

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7
Q

What does any reference to supplying legal services include?

A

an offer to supply legal services.

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8
Q

When does rS9.1 not apply?

A

if you are a pupil without a provisional practising certificate if you accept a noting brief with the permission of your pupil supervisor or head of chambers or HOLP

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9
Q

what is rule S12?

A

if you are an unregistered barrister or registered European Lawyer but do not hold a practising certificate and you supply legal services then you shall not be treated as a practising barrister or be subject to the rules in Part 2 of the Handbook.

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10
Q

When does rule S12 apply?

A

if you are practising as a foreign lawyer and you do not give advice on English law or supply legal services in connection with proceedings in England and Wales

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11
Q

When else does rule S12 apply?

A

(1) you are authorised and permitted to carry on reserved legal activities by another approved regulator; and
(2) you hold yourself out as a barrister or registered European lawyer; and
(3) when supplying legal services to any person or employer for the first time, you inform them clearly in writing at the earliest opportunity that you are not a practising barrister or registered European Lawyer.

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12
Q

What must have occurred for rule S12 to apply?

A
  1. you supplied legal services prior to 31 March 2012
  2. if you supply any legal services in England and Wales, you were called to the Bar before 31 July 2000; and
  3. before 31 March one each year, you promptly supply the BSB with the details of the offices from which you supply those services.
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13
Q

when may you carry on reserved legal activities?

A
  1. as a self-employed barrister
  2. as a BSB entity
  3. as a manager of a BSB entity or as an employed barrister
  4. as a manager of an authorised body or as an employed barrister of an authorised non-BSB body
  5. as an employed barrister
  6. as a registered European lawyer in any of the above capacities.
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14
Q

what occurs with any legal services you carry out if you carry out reserved legal activities?

A

you will also be subject to regulation by the BSB.

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15
Q

when can you practise or be involved with the supply of legal services?

A

After:
1. having obtained an amended practising certificate from the BSB which recognises the capacities in respect of which you are intending to practise; and
2. having agreed with each employer or regulated entity with which you are involved a protocol that enables you to avoid or resolve any conflict of interests or duties arising from your practice and/or involvement in those capacities.

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16
Q

As a pupil when can you supply legal services or exercise your rights by being a barrister?

A

if you have the permission of your pupil supervisor or head of chambers

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17
Q

What may you do as a barrister of less than 3 years’ standing?

A
  1. only supply legal services to the public or exercise any right of audience with the authorisation of the BSB.
  2. only conduct litigation with the authorisation of the BSB
18
Q

What is the place of practice from which you should perform as an employed barrister exercising rights of audience?

A

an office of an organisation which an employee, partner, manager or director is a relevant qualified person who can provide guidance for you if you are less than one years’

19
Q

who is a qualified person to provide legal services?

A

a. if you have been entitled to practise and have practised as a barrister for at least six years in the previous eight years
b. for the previous two years they have made that practise their primary occupation
c. are not acting as a qualified person in relation to more than 2 other people; and
d. has not been designated by the BSB as unsuitable to be designated person.

20
Q

What must you do if you are a practising barrister of less than 3 year and are authorised to conduct litigation?

A

you will need to work with a qualified person who is authorised to do litigation and with a person who is qualified person for exercising rights of audience.

21
Q

Where do the scope of practice rules apply for self-employed barristers?

A

where you are acting in your capacity as a self-employed barrister whether or not for a fee.

22
Q

When can you only supply legal services?

A

If you are appointed/instructed by:
1. the court; or
2. by a professional client
3. by a licensed access client, in which case you must comply with the license rules
4. on or behalf of any other client, provided that:
a. the matter is public access instructions and:
i. you are entitled to provide public access work and the instructions are relevant to such entitlement.
ii. you have notified the BSB that you are willing to accept instructions from lay clients
iii. you comply with the public access rules; or
b. the matter relates to the conduct of litigation and
i. you have a litigation extension to your practising certificate; and
ii. you have notified the BSB that you are willing to accept instructions from from lay clients.

23
Q

What do references to professional clients include?

A

foreign lawyers

24
Q

What must you do if you are instructed by a foreign lawyer to provide advocacy services in England and Wales?

A

advise them to any limitations on the services that you can provide.

25
Q

What must you not do in the course of your practice?

A

undertake any management, administration or general conduct of a client’s affairs.

26
Q

When may you as a BSB entity provide legal services?

A

If you are instructed by:
1. the court
2. a professional client
3. a licensed client
4. on or on behalf of any other client, provided that:
a. at least one manager or employee is suitably qualified to undertake public access work; and
b. you have notified the BSB that you are willing to accept instructions from lay clients.

27
Q

What must you do as a BSB entity where a foreign lawyer approaches you to provide advocacy services which you are not authorised to conduct?

A
  1. advise the lawyer to take appropriate steps to instruct a solicitor or other authorised litigator, and take such steps as reasonable to assist the foreign lawyer in doing so.
  2. cease to act and return your instructions if it appears to you that the foreign lawyer is not taking reasonable steps to instruct a solicitor or other authorised litigator to conduct the litigation; and
  3. not appear in court unless a solicitor or other authorised litigator has been instructed to conduct the litigation
28
Q

Do the public access and licensed access rules apply to BSB entities?

A

no because their circumstances will vary considerably.

29
Q

In the case of a barrister what must be completed before they can undertake public access work?

A

successful completion of the public access training required by the BSB or there must be an exemption from the requirement to do the training

30
Q

What must you consider if you are a BSB entity?

A
  1. whether you have the necessary skills and experience to do the work;
  2. the employees who will be dealing with the client are either authorised to conduct litigation or entitled to do public access work;
  3. it would be in the best interests of the client or in the interests of justice for the client to instruct a solicitor or other professional client if you are not able to provide such services
  4. if the matter involves the conduct of litigation and you are not able or instructed to conduct litigation, whether the client will be able to perform the tasks that you cannot perform for them.
  5. the client is clear about the services which you will and will not provide and any limitations on what you can do and what is expected of them
  6. if you are not able to act in legal aid cases, the client is in a position to take an informed decision as to whether proceed with public access or seek legal aid
31
Q

What must you ensure as to records?

A

that you keep proper records

32
Q

As a BSB entity, what must you not do in the course of your practice?

A

undertake the management, administration or general conduct of the client’s affairs.

33
Q

As a manager of a BSB entity or an employed barrister who can you supply legal services to?

A
  1. the BSB entity; or
  2. any employee, director or company secretary of the BSB entity in a matter arising out of that persons employment.
  3. any client of the BSB entity
  4. if you supply legal services at a Legal Advice Centre, clients of that Centre; and
  5. if you supply legal services free of charge, members of the public
34
Q

Who can a manager of an authorised non-BSB body supply legal services to?

A
  1. the authorised (non-BSB) body
  2. any employee, director or company secretary of the authorised non-BSB body for matters arising out of their employment
  3. any client of the authorised non-BSB body
  4. if you provide legal services at a Legal Advice Centre, clients of that Centre; and
  5. if you supply legal services free of charge, members of the public
35
Q

As a manager of an authorised non-BSB body what must you comply with?

A

the rules of the Approved Regulator or licensing authority of the authorised non-BSB body.

36
Q

What section of the Legal Services Act, are employed barristers of non authorised body’s subjected to?

A

section 15(4) Legal Services Act 2007

37
Q

Who can an employed barrister of a non-authorised body supply legal services to?

A
  1. your employer
  2. any employee, director or company secretary of your employer in a matter relating to that person’s employment
  3. if your employer is a public authority, another public authority on behalf of which your employer has made arrangements under statute or otherwise to supply any legal services;
  4. if you are employed by or in a Government department or agency, any Minister or Officer of the Crown.
  5. if you are employed by a trade association, any individual member of the association
  6. if you are or are performing the functions of a Justices’ clerk- the justices’ whom you serve.
  7. if you are employed by the Legal Aid Agency, members of the public
  8. if you are employed by a Legal Advice Centre, clients of that Centre;
  9. if you supply legal services free of charge, members of the public; or
  10. if your employer is a foreign lawyer and the legal services consist of foreign work, any client of your employer
38
Q

If you provide legal services at a Legal Advice Centre what are you treated as for the purpose of the handbook?

A

as being employed by the Legal Advice Centre

39
Q

What must you do if you supply legal services at a Legal Advice Centre?

A
  1. you must not in any circumstances receive either directly or indirectly any fee or reward for the supply of any legal services to any client of the Legal Advice Centre other than a scary paid by that Centre
  2. you must ensure that any fees in respect of legal services supplied by you to any client of the Legal Advice Centre accrue and are paid to the Legal Advice Centre, or to the Access to Justice Foundation or other such charity as prescribed by order made by the Lord Chancellor; and
  3. you must not have any financial interest in the Legal Advice Centre
40
Q

If you are a self-employed barrister do you need to inform the BSB if you are working at the Legal Advice Centre?

A

No

41
Q

Can you provide legal services at a Legal Advice Centre?

A

yes, irrespective of the capacity in which you normally work.

42
Q

Can you practise as a barrister if you are authorised by another Approved Regulator to carry on a reserved legal activity?

A

No

Pupillage Ethics (24 decks)

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