SRA Flashcards
What are the 7 principles?
- Uphold rule of law and admin of justice
- Uphold public trust
- Independence
- Honesty
- Integrity
- EDI
- Best interests
Where principles conflict, which takes precedence?
Whichever safeguards public interests instead of individual clients
What will the SRA always investigate?
Criminal offences (misleading/contempt court esp)
Re complaints - what should firms provide and when/how?
In WRITING at time of engagement:
1. Complaints procedure
2. Right to complain to LeO and when
Under SRA Transparency Rules, where should info re complaints procedure be?
Website or if haven’t got one, on request
If complaint not resolved to client’s satisfaction within 8 weeks, what must you do?
WRITE to client to inform of:
1. Right to LEO, how to and timeframe; and
2. That solicitor cannot settle, name and site of ADR approved mediator, and whether agree to ADR.
When can a client go to LeO?
8 weeks after trying internal complaints procedure
What gives rise to a right to go to LeO?
Services not to standard reasonably expected
(inc offered/refused)
No need loss
Who can use LeO?
Individuals, micro-entities, charities, personal representatives, clubs and associations with under 1 mil annual income
When can someone go to LeO without internal complaints?
LEO considers exceptional reasons
LeO considers not possible due to irretrievable breakdown
Deadline for complaining to LeO
One year from act or omission
or
One year since reasonably knew grounds for complaint
(LeO has discretion)
LeO steps after complain
Informal resolution
Investigation if necessary
Hearing if only way to deal fairly
Then send a determination to parties
What can LeO direct solicitor to do?
- Apologise
- Compensation
- Put right omission/error
- Take specified action in interests of claimant
- Pay claimant’s costs for pursuing
- Limit/remit their fees
Compensation limit - LeO
£50k
Is a LeO decision binding? (…)
Yes - enforceable by High Court or county court
Can a LeO and SRA decisions be published?
Yes
When will LeO inform SRA?
ALLEGED professional misconduct
What are the three steps for the SRA’s Assessment Threshold test?
Investigate if:
1. Breach of its standards/regulations
2. Which could result in regulatory action
3. Can be proved
How do SRA notify of investigation?
Firm and solicitor told relevant info and timeframe to respond with written recommendations
What four actions can SRA take if find misconduct?
- Issue advice or warning
- Financial penalty or written rebuke
- Control how practice
- Refer to SDR
Does SRA or LeO have strike-off powers?
No
When would SRA refer to SDT?
Striking off and very serious/unusual misconduct (sexual misconduct/client monies)
Max penalty SRA to solicitors?
25k
Can anyone go straight to SDT before SRA?
Unless Solicitors Act provides, yes
What does SDT not do?
Investigation or collecting evidence
Powers of SDT
Strike off
Suspension
Unlimited fine (to HMRC)
Rebuke
Pay/contribute to costs
What can court discipline solicitor over?
Costs (in any matter)
Duty of care
Can SRA and LeO adjudicate on neglignece?
Not in legal sense but if overlaps with professional misconduct, yes
Mainly LeO where powers enough to compensate
Can you use LeO and courts at same time for negligence?
Yes
What should a solicitor do when things go wrong?
- Full and prompt explanation
- Correct where possible
What may SRA require a solicitor to do when made an error?
Investigate if anyone has claim against them, provide report to SRA, notify relevant persons and if need independent legal advice
What should SRA compensation fund be used for?
Last resort if:
- Money stolen/not accounted for due to someone regulated by SRA
- Relieve SRA regulated bodies who should have had insurance but didn’t
Maximum amount SRA Compensation Fund?
£2m per claim or £5m in multiple claims
What should clients be made aware of in times of hardship/where required?
Entitlement to SRA compensation fund (/ regulatory protections)
Difference between what SRA and LeO deal with
SRA - misconduct
LeO - complaints
What would offensive comms and derogatory to other side engage?
Public trust
What is the SRA’s two stage test for dishonesty?
- Solicitor’s genuine belief at time
- Based on that, would reas person have done what they did?
Potential own interest conflicts which may arise to solicitor in practice in wills and what should do
(is or is significant risk of own interest conflict - solicitor should not act)
- wish solicitor act as executor under will
- potential cos will want to charge for this service
- ensure client full informed, explain options and record that
