Ethics And Regulation

Question 1

What’s the regulatory function of SRA?

Answer 1

Publishes and enforces rules governing how solicitors behave & conduct their business

Question 2

SRA principles?

Answer 2

Requirements of ethical behaviour/standards which must be held by all those regulated by SRA

Question 3

What must the Solicitor ensure to inform the client at the time of engagement?

Answer 3

In writing:
- their right to complain about the solicitor’s services and charges
- how complaints may be made and to whom
- right to complain to Legal Ombudsman and when they can make such complaint

Question 4

When client has made a complaint but has not been resolved to the clients satisfaction what happens?

Answer 4

If not resolved within 8 weeks following of a complaint, the solicitor must ensure that client is informed in writing:
(a) Right to complain to LeO (timeframe and procedure)
(b) If Solicitor cannot be settle complaint must provide Alternative Dispute Resolution (ADR)

Question 5

How must clients complaint be dealt with?

Answer 5

Promptly, fairly and free of charge

Question 6

What does Legal Ombudsman deal with?

Answer 6

Complaints relating to an act/omission by legal practitioners.
- Accepts complaints in relation to services which the solicitor offered, provided or refused to provide to the complaint

Question 7

When must complaint be brought to LeO?

Answer 7

• 1 year from act/omission
  or
  -1 year from when the complaint should have reasonably known there was a cause for complainant

However can be extended

Question 8

What may LeO’s determination direct solicitor (or firm to do)?

Answer 8

directing solicitor to limit their fees, or directing solicitor to compensate the client up to £50,000.

Question 9

What is the Solicitors Disciplinary Tribunal? What power do they have?

Answer 9

Hears and determines applications relating of unbefitting and/or breaches of requirements of professional conduct by solicitors
- may fine, suspend or strike off the solicitor roll

Question 10

What must a solicitor be with a client if things go wrong?

Answer 10

Honest and open

Question 11

What is the SRA Compensation fund?

Answer 11

Payment may be made from the Fund when client has suffered loss as a result of a defaulting practitioners act or omission or to cover claims against firms