Unit 1 Regulatory framework for solicitors

Question 1

Reserved legal activities

Answer 1

A) The exercise of a right of audience
B) The conduct of litigation
C) Reserved instrument activities
D) Probate activities
E) Notarial activities
F) The administration of oaths

To do any of these you need to be authorised by relevant regulator or exempt e.g. three years post qualification experience and possess appropriate and adequate professional indemnity insurance.

Question 2

The legal services board

Answer 2

Responsible for overseeing the regulation of all lawyers in England and Wales.

Question 3

Legal services not subject to regulation

Answer 3

Will writing, family law advice and employment law advice.

Question 4

The SRA

Answer 4

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

Question 5

SRA - risk-based regulation

Answer 5

SRA assess the risk to the SRA achieving its regulatory objectives.

Expects firms to engage in their own risk management.

Question 6

SRA - Authorisation of individuals

Answer 6

No person shall be qualified to act as a solicitor unless—
(a) he has been admitted as a solicitor, and
(b) his name is on the roll, and
(c) he has a certificate issued by the Society … authorising him to practise as a solicitor

Question 7

Freelance solicitor

Answer 7

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 8

Professional indemnity insurance

Answer 8

Necessary requirement for solicitors and other professionals.

For breach of professional duty that gives rise to financial loss or damage to third party.

Question 9

Equality act - protected characteristics

Answer 9

Race
Religion and belief
Sex
Sexual orientation
Age
Disability
Gender reassignment
Marriage/ civil partnerships
Pregnancy and maternity

Question 10

Equality act - Prohibited conduct - direct discrimination

Answer 10

A treats B less favourably than A treats or would treat others because of protected characteristic.

No defence or justification except for age - if the treatment was a proportionate way of achieving a legitimate aim.

Question 11

Equality act - Prohibited conduct - indirect discrimination

Answer 11

Where conditions are imposed which apply to everyone, but which have the effect of prejudicing members of a particular group.

Can have justification - a proportionate means of achieving a legitimate aim.

Does not apply to pregnancy/ maternity.

Question 12

Disability discrimination

Answer 12

Additional to claims under direct or indirect.

A person (A) discriminates against a disabled person (B) if A treats B unfavourably because of something arising in consequence of B’s disability.

Perpetrator must have known, or reasonably be expected to have known, that the disabled person had a disability.

Can justify if a proportionate means of achieving a legitimate aim.

Question 13

Victimisation

Answer 13

A person (A) victimises another person (B) if A subjects B to a detriment because
(a) B does a protected act, or
(b) A believes that B has done, or may do, a protected act.

A protected act is any of the following:
* bringing proceedings under the Act;
* giving evidence or information in proceedings brought under the Act;
* doing anything which is related to the provisions of the Act;
* making an allegation that another person has done something in breach of the Act.

Victim does not need to have a protected characteristic.

Question 14

Harassment

Answer 14

When an individual is subjected to a specific form of unwanted conduct which has the effect of violating the individual’s dignity, or creating an intimidating, hostile, degrading, humiliating or offensive environment for the individual.

Unwanted conduct must:
* relate to a protected characteristic (except pregnancy/ maternity and marriage/ civil partnership);
* be of a sexual nature; or
* be related to gender reassignment or sex and result in less favourable treatment because of the individual’s rejection of or submission to the conduct.

Question 15

Duty to make adjustments

Answer 15

Imposes a duty to make reasonable adjustments for disabled persons. A failure to comply with that duty in respect of an individual is discrimination.

3 requirements:
* Provision, criterion or practice
* Physical features
* Provision of auxiliary aid

Solicitors:
No requirement to fundamentally change the nature of the service being provided.
Cost of making adjustments cannot be passed onto those using the service.

Question 16

Solicitors as service providers

Answer 16

It is unlawful for a service provider:
* to discriminate or victimise:
∘ by not providing the service
∘ as to the terms on which the service is provided
∘ by terminating the provision of the service, or
∘ by subjecting the user of the service to any detriment.
* Or to harass the person to whom the service is provided

Question 17

Solicitors as service providers - Vicarious liability

Answer 17

Firm may be held vicariously liable for the behaviour of an individual employee.

Question 18

Solicitors as employees

Answer 18

An employer must not:
* discriminate against or victimise a prospective employee:
∘ in the arrangements made for deciding to whom to offer employment
∘ as to the terms on which employment is offered, or
∘ by not offering employment.
* harass a person who has applied to it for employment
* discriminate against or victimise an employee:
∘ as to the terms of employment
∘ in the way it affords access to opportunities for promotion, transfer or training, or for receiving any other benefit, facility or service
∘ by dismissing the employee, or
∘ by subjecting the employee to any detriment.
* harass an employee.

Question 19

Barristers

Answer 19

A person must not, in relation to instructing a barrister:
(a) discriminate against a barrister by subjecting the barrister to a detriment;
(b) harass the barrister;
(c) victimise the barrister.

Question 20

Positive action

Answer 20

Allows positive action to be taken in an attempt to address the disadvantages suffered by those who share a protected characteristic.

Firm must reasonably think that person with PC is at a disadvantage/has different needs/participation is disproportionality low.
Must be a proportionate means of enabling/encouraging.

Point is not to provide an advantage - positive discrimination.