Providers

Question 1

Can chartered legal executives work alone or own firms

Answer 1

Cannot work alone, must be supervised by solicitor but can own firm

Question 2

Who is a barrister regulated by when working in a solicitors firm

Answer 2

BSB but firm is regulated by SRA

Question 3

Who regulates soliciors

Answer 3

Law society is regulator but SRA carries out regulatory functions

Question 4

Who oversees the regulators

Answer 4

Legal services board

Question 5

Can any body act as a regulator

Answer 5

No must be approved by legal services board

Question 6

What are the s1 LSA regulatory objectives that Regulators must promote

Answer 6

Public interest 
Rule of law
Access to justice 
Consumer interests 
Completion 
Independent, strong, diverse, effective 
Public understanding of rights and duties 
Independence, integrity, property standards, best interests, duty to court, confidentiality

Question 7

Who can provide reserved activities

Answer 7

S13- must be authorised and regulated provider or exempt

Question 8

Who can provide non-reserved activities

Answer 8

Anyone

Question 9

What the non-reserved activities

Answer 9

Family
Employment
Wills

Question 10

Is an authorised person regulated in all services they provide or just the reserved activities

Answer 10

All of them

Question 11

Who is an authorised person

Answer 11

Someone authorised by an approved regulator

Question 12

6 types of reserved activities

Answer 12

Rights of audience
Conduct of Litigation 
Reserved instrument activities 
Probate activities 
Notarial activities 
Admin of oaths

Question 13

What are reserved instruments activities

Answer 13

Prepare and lodge instruments (formal legal doc), deal with transfer or charge of land, relating to real or personal estate or an instrument relating to court proceedings

Wills and POA are excluded

Question 14

Who are exempt ( can do reserved activities without authorisation)

Answer 14

Court can grant right out audience

Probate employee supervised by authorised person

Question 15

What happens if you conduct reserved activities without authorisation

Answer 15

Criminal offence
2 years imprisonments
Contempt of court if rights of audience or litigation

Question 16

Why are notarial activities different

Answer 16

Most regulators don’t authorise these

Question 17

Who is responsible for compliance with regulators

Answer 17

Firms ensure compliance with regulators but individuals responsible for own conduct

Question 18

Which act separated SRA and law society

Answer 18

Legal services act 2007

Question 19

Who does the SRA regulate

Answer 19

Solicitors, firms, non-lawyer employees of firms, European and foreign lawyers

Question 20

How many people on SRA board

Answer 20

13

6 lawyers and 7 lay members

Question 21

How is SRA funded

Answer 21

From practising certificate fee

Question 22

Regulation is underpinned by SRA principles. What are they

Answer 22

Rule of law 
Administration of justice 
Public trust 
Independence
Honesty 
integrity 
Diversity, equality and inclusion 
Best interests

Question 23

Does the SRA need to act compatibly with s1 LSA regulatory objectives

Answer 23

As far as reasonably practical

Question 24

What is the purpose of SRA

Answer 24

To protect consumers, rule of law and admin of justice

Question 25

What approach does SRA take to regulation

Answer 25

Risk based approach

Question 26

What is a risk based approach

Answer 26

Assess risk to achieving regulatory objectives and target resources where risk is greatest

Question 27

What is risk

Answer 27

Harm caused Plus Likelihood of it occurring

Question 28

Where does SRA set out the risks

Answer 28

Annual risk outlook

Question 29

Risk management obligations of firms

Answer 29

Risk assessment- identify, monitor and manage risks to business

Question 30

Types of business eligible for authorisation

Answer 30

``` Recognised sole practice Recognised body (partnership, LLP, company) Licensed body (ASB) ```

Question 31

What is a recognised body

Answer 31

All managers and interest holders all legally qualified

Question 32

What is a licensed body

Answer 32

ASB At least one lawyer and one non-lawyer manager or owner Or another body which is controlled at least 10% by non-lawyers ASB may offer legal and non legal services

Question 33

Who is in LLP

Answer 33

Members not partners

Question 34

Salaried partners

Answer 34

Get salary not profits

Question 35

Equity partners

Answer 35

Get share of profits

Question 36

Effect of authorisation on recognised body

Answer 36

Carry out all reserved activities except notarial Carry out immigration Professional services in annex 2 rules (ADR, estate agency and financial services) Compliance officer for legal practice Compliance officer for finance and administration (SRA must approve these)

Question 37

Effect of authorisation on licensed body

Answer 37

Carry out all same activities as recognised body but in accordance with license granted by SRA Must have Head of legal practice and Head of finance and administration

Question 38

Authorisation process for firms

Answer 38

Firms apply to SRA SRA checks eligibility and investigated suitability (dedicate resources to high risk areas) SRA might give blanket authorisation or for specific activities or refuse application

Question 39

Can firms that only conduct non-reserved activities apply for authorisation

Answer 39

Yea to reassure clients

Question 40

Authorisation process for individuals

Answer 40

Same requirements as for practising as a solicitor so anyone practising is regulated

Question 41

Requirements to practice

Answer 41

Admitted as a solicitor On roll Practising certificate

Question 42

How to get admitted as solicitor

Answer 42

Qualification, training, character test Then placed on roll

Question 43

What if you practise as a solicitor without Admission On roll Certificate

Answer 43

Criminal offence

Question 44

How to get practising certificate

Answer 44

Name on roll English or welsh language Not suspended

Question 45

What does a practising certificate allow

Answer 45

Practice reserved activities except notarial Must be through authorised body

Question 46

Can you be refused a certificate

Answer 46

Yes SRA can refuse application or grant it with conditions Appeal to SRA or high court

Question 47

Two categories for character and suitability test

Answer 47

Criminal conduct | Other conduct and behaviour

Question 48

What is serious criminal conduct

Answer 48

Application MAY be refused Violence, discrimination, academic misconduct, dishonesty, cannot manage finances, disciplinary sanctions Caution or conviction for offence not in most serious category

Question 49

What is most serious criminal conduct category

Answer 49

Application refused Custodial or suspended sentence or caution for crime involving dishonesty, fraud, sexual, bribery, violence, obstructing justice, terrorism, discrimination

Question 50

Do you have to disclose criminal conduct to SRA

Answer 50

Yeah on going obligation Failure to do so is taken into account when considering character test

Question 51

Do solicitors have rights of advocacy

Answer 51

Yes but cannot exercise in higher course until completed course Higher courts; crown court, high court, C of A and SC

Question 52

Can in house solicitors provide reserved activities

Answer 52

Yes to their employers but not general public

Question 53

Can solicitor working for commercial unregulated organisation provide legal services

Answer 53

Yes to public but only non-reserved

Question 54

Solicitors in non-commercial organisation. What services can they provide

Answer 54

Reserved services to public if they have professional indemnity insurance

Question 55

What services can sole practitioners provide

Answer 55

Non- reserved activities Reserved activities through authorised body Or 3 years PQE, self employer, practice in own name, insurance, no employees, holds limited client money - still notify SRA to put details on public register