Regulatory and Legal Environment

Question 1

Name six bodies that regulate the legal profession

Answer 1

Legal Services Board - all lawyers
SRA - anyone who works for a business authorised by the SRA
Bar Standards Board
CILEX – legal executives
Council for licensed conveyancers
Costs Lawyers Standards Board

Question 2

What is the hierarchy of where a client can complain

Answer 2

Bottom up:

Law firm
Legal ombudsman
SRA
Solicitors’ disciplinary tribunal

Question 3

What can the Legal Ombudsman require a soliictor to do?

Answer 3

Apology
Pay compensation
Correct an error / omission
Take specific action
Pay for costs of the complaint
Limit firm’s fees

Question 4

What can the Legal Ombudsman NOT do?

Answer 4

Cannot discipline or fine a lawyer

Question 5

What powers does the SRA have?

Answer 5

• Issue a warning
• Disciplinary sanction
• Reprimand solicitor for professional misconduct
• Order solicitor to repay / refund costs to client
• Impose restrictions on a lawyer’s ability to practice
• Institute disciplinary proceedings
• Revoke recognition of a firm
• Shut down a firm

Question 6

When should a client complain to the SRA specifically?

Answer 6

Complaints about misconduct, dishonesty, or breaches of the SRA rules

Question 7

What does the Solicitors’ Disciplinary Tribunal deal with? What kind of body is it?

Answer 7

Serious breaches of the SRA rules

Independent statutory body

Question 8

What powers does the SDT have?

Answer 8

• Strike solicitor off
• Suspend from practice
• Reprimand
• Impose a fine
• Award costs against a party to proceedings
• Make a restriction order

Question 9

What can the SDT NOT do?

Answer 9

Award compensation

Question 10

What option is available to a client after firm, ombudsman, SRA and SDT have been bypassed?

Answer 10

Court action only

Question 11

What are the three key functions of the SRA?

Answer 11

Authorise regulated bodies
Set and enforce standards
Disciplinary matters

Question 12

What are the 7 SRA principles?

Answer 12

In hierarchy

• Act in a way that upholds the rule of law / administration of justice
• Act in a way that upholds public trust in solicitors’ profession
• With independence
• With honesty
• With integrity
• In a way that encourages equality, diversity and inclusion
• In the best interests of each client.

Question 13

If two of the SRA principles come into conflict, which should take priority?

Answer 13

Whichever principle is able to safeguard the wider public interest

Question 14

How must law firms insure themselves?

Answer 14

Must take out professional indemnity insurance

Question 15

When will an organisation need to have their legal services business authorised?

Answer 15

If they provide:

Reserved legal services, unless exempt
Immigration services, unless OISC regulated
Claims management services unless FCA regulated
Regulated financial activities unless FCA regulated

Question 16

What are the five reserved legal activities?

Answer 16

Rights of audience
Conduct of litigation
Reserved instrument activities
Certain probate activities
Administration of oaths

Question 17

What is the different between a legal services body and a licensable body?

Answer 17

in a legal services body all managers will be lawyers - in a licensable body, not all managers will be lawyers

Question 18

What is the difference between a law centre and a legal advice centre?

Answer 18

Both give people legal advice, but legal advice centres do not undertake casework on behalf of individuals

Question 19

What characteristics are protected under the Equality Act 2010?

Answer 19

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

Question 20

What is direct discrimination?

Answer 20

Because of a protected characteristic, A treats B less favourably than they would do others.

Question 21

What is indirect discrimination?

Answer 21

The application of a provision, criterion or practice (PCP) which puts someone with a protected characteristic at a particular disadvantage compared to others

The PCP cannot be shown to be a proportionate means of achieving a legitimate aim.

Question 22

What is harassment?

Answer 22

Unwanted conduct related to a relevant protected characteristic which has the purpose or effect of either a) violating B’s dignity or b) creating an intimidating, hostile, degrading environment

Question 23

What is victimisation?

Answer 23

A subjects B to a detriment because they may or are likely to bring proceedings / be involved in proceedings connected to the Equality Act

Question 24

What is the nature of a duty to provide reasonable adjustments?

Answer 24

Anyone who provides goods / facilities / services / carries out public functions / runs an association must make anticipatory reasonable adjustments

Question 25

How extensive do adjustments for the disabled have to be?

Answer 25

Reasonable - and what is 'reasonable' will depend on the size and resources of an organisation

Question 26

If a disabled person brings a claim regarding a failure to make reasonable adjustments, what can be done?

Answer 26

Compensation may be paid Service provider may be forced to make the relevant reasonable adjustments

Question 27

What are the three substantive elements of the duty to make reasonable adjustments?

Answer 27

- Changing provisions, criteria and practice - Making changes to overcome any barriers created by the physical nature of a premises - Reasonable steps to provide auxiliary aids and services