Regulation of Legal Services

Question 1

Can a range of professionals provide legal services

Answer 1

Yes

Question 2

What does legal services mean

Answer 2

Umbrella of advice, help, representation for legal matters

Question 3

Where is the framework for regulation of legal services found

Answer 3

Legal Services Act 2007

Question 4

What are the 6 reserved legal activities

Answer 4

1. Rights of audience
2. Conduct of Litigation
3. Reserved Instrument Activities
4. Probate Activities
5. Notarial Activities
6. Administration of Oaths

Question 5

What does conduct of litigation include

Answer 5

Issuing proceedings
Commencing proceedings
Ancillary tasks for proceedings

Question 6

What is included as reserved instrument activities

Answer 6

Lodging formal legal documents
Transfer/charge or registration of land
Instruments re court proceedings

Question 7

What is not included as a reserved instrument activity

Answer 7

Drafting wills
Drafting agreements (not ones executed as a deed)
Drafting a letter of POA

Question 8

What are probate activities

Answer 8

Preparing grant of probate & letters of administration & documents to oppose the same

Question 9

What are notarial activities

Answer 9

Certifying documents in accordance with the Public Notaries 1801

Question 10

What is the administration of oaths

Answer 10

Power to take oaths & swear affidavits

Question 11

Can non reserved activities be carried out by unregulated individuals

Answer 11

Yes

Question 12

Is an authorised person subject to regulatory requirements of approved regulator

Answer 12

Yes

Question 13

Who is exempt from authorisation to carry out regulated activities

Answer 13

If court grants them rights of audience or ability to conduct litigation.
By virtue of statutory provisions
Party to proceedings
McKenzie friend

Question 14

What does the SRA regulate

Answer 14

Solicitors & Law Firms

Question 15

What are the three requirements to practise as a solicitor

Answer 15

Education & Suitability
Admitted to the roll
Obtains practising certificate

Question 16

When carrying on reserved legal activities where are solicitors usually providing their services

Answer 16

Through an authorised law firm

Question 17

Who are the 3 types of bodies that can be authorised to provide legal services

Answer 17

Recognised bodies
Licensed bodies
Recognised sole practice

Question 18

What are the 7 SRA Principles

Answer 18

1. Upload ROL & AOJ
2. Public trust & confidence in profession
3. Independence
4. Honesty
5. Integrity
6. Encourage equity, diversity & inclusion
7. Best interests of client

Question 19

What is the risk based regulation

Answer 19

Model assessing risk

Risk = impact of event occurring & probability of occurrence

Question 20

How is risk evaluated under the risk based regulation

Answer 20

Impact & Probability

Question 21

What does impact refer to under the risk based regulation

Answer 21

What is at risk

Question 22

What does probability refer to under the risk based regulation

Answer 22

How likely it is that an event will occur

Question 23

What is PII

Answer 23

Insurance to cover a loss or damage

Question 24

Who needs PII

Answer 24

All solicitors and authorised bodies before start practising

Question 25

What is the minimum PII coverage

Answer 25

Law firms for one claim £3million - minimum All others £2 million

Question 26

What are the two SRAs primary aims

Answer 26

To ensure sols and legal practices meet SRA standards Take disciplinary action when standards not met

Question 27

PII claims can they claim regarding a professional service rather than a legal liability

Answer 27

No