SRA

Question 1

What are the 7 principles?

Answer 1

1. Uphold rule of law and admin of justice
2. Uphold public trust
3. Independence
4. Honesty
5. Integrity
6. EDI
7. Best interests

Question 2

Where principles conflict, which takes precedence?

Answer 2

Whichever safeguards public interests instead of individual clients

Question 3

What will the SRA always investigate?

Answer 3

Criminal offences (misleading/contempt court esp)

Question 4

Re complaints - what should firms provide and when/how?

Answer 4

In WRITING at time of engagement:
1. Complaints procedure
2. Right to complain to LeO and when

Question 5

Under SRA Transparency Rules, where should info re complaints procedure be?

Answer 5

Website or if haven’t got one, on request

Question 6

If complaint not resolved to client’s satisfaction within 8 weeks, what must you do?

Answer 6

WRITE to client to inform of:
1. Right to LEO, how to and timeframe; and
2. That solicitor cannot settle, name and site of ADR approved mediator, and whether agree to ADR.

Question 7

When can a client go to LeO?

Answer 7

8 weeks after trying internal complaints procedure

Question 8

What gives rise to a right to go to LeO?

Answer 8

Services not to standard reasonably expected
(inc offered/refused)
No need loss

Question 9

Who can use LeO?

Answer 9

Individuals, micro-entities, charities, personal representatives, clubs and associations with under 1 mil annual income

Question 10

When can someone go to LeO without internal complaints?

Answer 10

LEO considers exceptional reasons
LeO considers not possible due to irretrievable breakdown

Question 11

Deadline for complaining to LeO

Answer 11

One year from act or omission
or
One year since reasonably knew grounds for complaint

(LeO has discretion)

Question 12

LeO steps after complain

Answer 12

Informal resolution
Investigation if necessary
Hearing if only way to deal fairly

Then send a determination to parties

Question 13

What can LeO direct solicitor to do?

Answer 13

1. Apologise
2. Compensation
3. Put right omission/error
4. Take specified action in interests of claimant
5. Pay claimant’s costs for pursuing
6. Limit/remit their fees

Question 14

Compensation limit - LeO

Answer 14

£50k

Question 15

Is a LeO decision binding? (…)

Answer 15

Yes - enforceable by High Court or county court

Question 16

Can a LeO and SRA decisions be published?

Answer 16

Yes

Question 17

When will LeO inform SRA?

Answer 17

ALLEGED professional misconduct

Question 18

What are the three steps for the SRA’s Assessment Threshold test?

Answer 18

Investigate if:
1. Breach of its standards/regulations
2. Which could result in regulatory action
3. Can be proved

Question 19

How do SRA notify of investigation?

Answer 19

Firm and solicitor told relevant info and timeframe to respond with written recommendations

Question 20

What four actions can SRA take if find misconduct?

Answer 20

1. Issue advice or warning
2. Financial penalty or written rebuke
3. Control how practice
4. Refer to SDR

Question 21

Does SRA or LeO have strike-off powers?

Answer 21

No

Question 22

When would SRA refer to SDT?

Answer 22

Striking off and very serious/unusual misconduct (sexual misconduct/client monies)

Question 23

Max penalty SRA to solicitors?

Answer 23

25k

Question 24

Can anyone go straight to SDT before SRA?

Answer 24

Unless Solicitors Act provides, yes

Question 25

What does SDT not do?

Answer 25

Investigation or collecting evidence

Question 26

Powers of SDT

Answer 26

Strike off Suspension Unlimited fine (to HMRC) Rebuke Pay/contribute to costs

Question 27

What can court discipline solicitor over?

Answer 27

Costs (in any matter) Duty of care

Question 28

Can SRA and LeO adjudicate on neglignece?

Answer 28

Not in legal sense but if overlaps with professional misconduct, yes Mainly LeO where powers enough to compensate

Question 29

Can you use LeO and courts at same time for negligence?

Answer 29

Yes

Question 30

What should a solicitor do when things go wrong?

Answer 30

1. Full and prompt explanation 2. Correct where possible

Question 31

What may SRA require a solicitor to do when made an error?

Answer 31

Investigate if anyone has claim against them, provide report to SRA, notify relevant persons and if need independent legal advice

Question 32

What should SRA compensation fund be used for?

Answer 32

Last resort if: 1. Money stolen/not accounted for due to someone regulated by SRA 2. Relieve SRA regulated bodies who should have had insurance but didn't

Question 33

Maximum amount SRA Compensation Fund?

Answer 33

£2m per claim or £5m in multiple claims

Question 34

What should clients be made aware of in times of hardship/where required?

Answer 34

Entitlement to SRA compensation fund (/ regulatory protections)

Question 35

Difference between what SRA and LeO deal with

Answer 35

SRA - misconduct LeO - complaints

Question 36

What would offensive comms and derogatory to other side engage?

Answer 36

Public trust

Question 37

What is the SRA's two stage test for dishonesty?

Answer 37

1. Solicitor's genuine belief at time 2. Based on that, would reas person have done what they did?

Question 38

Potential own interest conflicts which may arise to solicitor in practice in wills and what should do

Answer 38

(is or is significant risk of own interest conflict - solicitor should not act) - wish solicitor act as executor under will - potential cos will want to charge for this service - ensure client full informed, explain options and record that