LEGAL SERVICES NOTES
Unit 1: Introduction to Legal Services and the
Regulatory Framework for Solicitors
CHAPTER ONE: PROVIDERS OF LEGAL
SERVICES
Introductio - Increasing range of providers delivering legal services in
n both traditional and innovative of ways
Overview of legal services
- Definition There is no fixed definition of 'legal services.'
Broadly, it includes all advice, assistance, and representation
related to the law, from court representation to completing
online court forms, negotiating contracts, and drafting wills.
Some services, like online legal information, may fall in a
grey area regarding whether they are legal services.
- Forms of Legal Service Delivery:
o Traditional services include solicitors meeting clients
face-to-face or barristers representing clients in court.
o Increasing use of technology by law firms for case
management, information gathering, and online
services like document preparation, contract
management, and dispute resolution.
- In the UK, many public services are regulated (e.g., financial
services, transport, social care) to ensure service standards,
pricing, and complaint resolution, with the goal of protecting
the public.
- Legal services regulation falls under the Legal Services Act
2007, which distinguishes between:
- Reserved Legal Activities: These can only be provided by
authorized individuals who are subject to regulation.
- Non-Reserved Legal Activities: These can be provided by
anyone without legal regulation.
- Regulators protect the public by overseeing standards,
pricing, complaints, and qualifications of service providers,
ensuring services meet expected standards and are
delivered by qualified individuals.
- Regardless of regulatory status, legal service providers must
comply with general legal obligations, such as the Equality
Act 2010 and anti-money laundering laws.
Reserved - ‘Reserved’ legal work extends beyond solicitors
legal - Reserved legal activities comprise legal work where the risk
activities to the public is the greatest
Definition
- Under s 12 of the Legal Services Act 2007, six types of
legal work are classified as reserved legal activities:
, - The Exercise of a Right of Audience: This refers to the
right to appear before and address a court, including
examining witnesses.
- The Conduct of Litigation: This includes issuing legal
proceedings, prosecuting or defending them, and performing
any related functions (e.g., entering appearances in court).
o Example case: Media Protection Services Ltd v
Crawford [2012]: A company director unlawfully
commenced proceedings without authorization,
making the private prosecution invalid.
o JK v MK and E-Negotiation Ltd (2020): In contrast,
the court held that the online divorce facilitator did not
engage in litigation because the parties themselves
filed the necessary court documents. Therefore, no
reserved legal activity was carried out by the
unregulated company.
- Reserved Instrument Activities: Involves preparing and
lodging formal legal documents related to the transfer of
land or personal estate (e.g., contracts for the sale of land).
o Excludes certain documents like wills and powers of
attorney.
- Probate Activities: includes preparing documents needed
to obtain a grant of probate or letters of administration.
- Notarial Activities: Relates to certifying and authenticating
documents, a role historically carried out by notaries under
the Public Notaries Act 1801.
- Administration of Oaths: The power to administer an oath,
for instance, when swearing an affidavit.
Authorisation
- Legal Requirement for Authorisation (s 13 Legal
Services Act 2007): Reserved legal activities can only be
carried out by individuals who are
either authorised or exempt.
- To be authorised, a person must be approved by a
relevant approved regulator (s 18 Legal Services Act
2007).
- Each reserved legal activity has a specific approved
regulator (e.g., Solicitors Regulation Authority (SRA) for
solicitors, excluding notarial activities).
- An authorised person is subject to regulatory requirements
for all legal services they provide, even those outside
reserved legal activities.
- The Law Society is the named regulator for solicitors under
the Act, but regulatory functions are carried out by the SRA.
- The SRA handles authorisation for all reserved legal
activities, except notarial ones.
- Exemptions (s 19 Legal Services Act 2007):
o Individuals may be exempt from requiring
, authorisation in certain circumstances, such as:
o A court grants a right of audience in a specific case
(e.g., for a McKenzie friend).
o An employee acting under the supervision of an
authorised person in probate activities.
o Non-commercial organisations like charities and trade
unions may also be exempt.
- Criminal Offence (s 14 Legal Services Act 2007):
o It is a criminal offence to carry out reserved legal
activities without being authorised or exempt.
o Punishable by up to two years' imprisonment.
o Carrying out a reserved legal activity without proper
authority (e.g., rights of audience, conduct of litigation)
may also result in contempt of court.
- Case Example: Re Balli [2011]:
o A solicitor, after losing SRA authorisation and being
struck off, continued to provide legal services and
conduct litigation.
o The court ruled that he deceived the court and legal
professionals, resulting in a six-month prison sentence
for contempt of court.
The Legal - The Legal Services Board (LSB) oversees the regulation of
Services all lawyers in England and Wales.
Board - There are eight separate regulators that manage the day-to-
day regulation of different types of lawyers.
- The LSB was created under the Legal Services Act
2007 and has statutory responsibilities, including ensuring
regulatory standards.
- A body can only regulate legal services if it is approved by
the LSB.
- The LSB coordinates and oversees the regulation of legal
services by these approved regulators.
- Regulatory Objectives (s 1 Legal Services Act 2007):
- The LSB is tasked with promoting several key objectives:
o Protecting and promoting the public interest.
o Supporting the constitutional principle of the rule of
law.
o Improving access to justice.
o Protecting and promoting the interests of consumers.
o Promoting competition in legal services.
o Encouraging an independent, strong, diverse, and
effective legal profession.
o Increasing public understanding of legal rights and
duties.
o Promoting adherence to professional principles.
o Promoting the prevention and detection of economic
crime.
- The LSB holds individual regulators accountable to these
, objectives.
- It monitors their performance, can make recommendations,
impose penalties for deficiencies, and may withdraw
approval if necessary.
- The LSB also controls regulatory changes, requiring its
consent for any modifications made by regulators.
Regulated - Regulation aims to protect the public by ensuring legal
providers service providers meet professional standards.
- Regulated individuals must follow their regulator's rules
concerning education, training, codes of conduct, practice
frameworks, and disciplinary actions.
- Firms are responsible for ensuring compliance with
regulatory standards.
- Individuals within firms are accountable for their own
conduct, regardless of firm-level oversight.:
- A variety of legal service providers are regulated by LSB-
approved regulators, each connected to specific legal
professions or specializations.
- Providers must be regulated if they engage in reserved legal
activities, but often they also perform activities outside that
definition.
- Regulated individuals are bound by regulatory
requirements for all the legal services they provide, whether
those services are reserved or not.
Solicitors
- Largest providers of legal services
Barristers
- Barristers primarily act as advocates in criminal and civil
courts.
- They also provide expert legal advice and draft legal
documents.
- Traditionally, barristers could only be instructed by a solicitor
on behalf of a client.
- This rule has been relaxed, allowing direct instruction of
barristers by the public in some civil cases.
- Most barristers are self-employed and work in chambers,
where they share premises and administrative services with
other barristers.
- Some barristers are employed by organizations such as
the Civil Service, Crown Prosecution Service, law firms,
and corporations.
- The Bar Standards Board is the approved regulator for
barristers.
- It authourises barristers to conduct all reserved legal
activities, except notarial activities.
Chartered legal executives
- Chartered legal executives perform similar tasks to solicitors,
Unit 1: Introduction to Legal Services and the
Regulatory Framework for Solicitors
CHAPTER ONE: PROVIDERS OF LEGAL
SERVICES
Introductio - Increasing range of providers delivering legal services in
n both traditional and innovative of ways
Overview of legal services
- Definition There is no fixed definition of 'legal services.'
Broadly, it includes all advice, assistance, and representation
related to the law, from court representation to completing
online court forms, negotiating contracts, and drafting wills.
Some services, like online legal information, may fall in a
grey area regarding whether they are legal services.
- Forms of Legal Service Delivery:
o Traditional services include solicitors meeting clients
face-to-face or barristers representing clients in court.
o Increasing use of technology by law firms for case
management, information gathering, and online
services like document preparation, contract
management, and dispute resolution.
- In the UK, many public services are regulated (e.g., financial
services, transport, social care) to ensure service standards,
pricing, and complaint resolution, with the goal of protecting
the public.
- Legal services regulation falls under the Legal Services Act
2007, which distinguishes between:
- Reserved Legal Activities: These can only be provided by
authorized individuals who are subject to regulation.
- Non-Reserved Legal Activities: These can be provided by
anyone without legal regulation.
- Regulators protect the public by overseeing standards,
pricing, complaints, and qualifications of service providers,
ensuring services meet expected standards and are
delivered by qualified individuals.
- Regardless of regulatory status, legal service providers must
comply with general legal obligations, such as the Equality
Act 2010 and anti-money laundering laws.
Reserved - ‘Reserved’ legal work extends beyond solicitors
legal - Reserved legal activities comprise legal work where the risk
activities to the public is the greatest
Definition
- Under s 12 of the Legal Services Act 2007, six types of
legal work are classified as reserved legal activities:
, - The Exercise of a Right of Audience: This refers to the
right to appear before and address a court, including
examining witnesses.
- The Conduct of Litigation: This includes issuing legal
proceedings, prosecuting or defending them, and performing
any related functions (e.g., entering appearances in court).
o Example case: Media Protection Services Ltd v
Crawford [2012]: A company director unlawfully
commenced proceedings without authorization,
making the private prosecution invalid.
o JK v MK and E-Negotiation Ltd (2020): In contrast,
the court held that the online divorce facilitator did not
engage in litigation because the parties themselves
filed the necessary court documents. Therefore, no
reserved legal activity was carried out by the
unregulated company.
- Reserved Instrument Activities: Involves preparing and
lodging formal legal documents related to the transfer of
land or personal estate (e.g., contracts for the sale of land).
o Excludes certain documents like wills and powers of
attorney.
- Probate Activities: includes preparing documents needed
to obtain a grant of probate or letters of administration.
- Notarial Activities: Relates to certifying and authenticating
documents, a role historically carried out by notaries under
the Public Notaries Act 1801.
- Administration of Oaths: The power to administer an oath,
for instance, when swearing an affidavit.
Authorisation
- Legal Requirement for Authorisation (s 13 Legal
Services Act 2007): Reserved legal activities can only be
carried out by individuals who are
either authorised or exempt.
- To be authorised, a person must be approved by a
relevant approved regulator (s 18 Legal Services Act
2007).
- Each reserved legal activity has a specific approved
regulator (e.g., Solicitors Regulation Authority (SRA) for
solicitors, excluding notarial activities).
- An authorised person is subject to regulatory requirements
for all legal services they provide, even those outside
reserved legal activities.
- The Law Society is the named regulator for solicitors under
the Act, but regulatory functions are carried out by the SRA.
- The SRA handles authorisation for all reserved legal
activities, except notarial ones.
- Exemptions (s 19 Legal Services Act 2007):
o Individuals may be exempt from requiring
, authorisation in certain circumstances, such as:
o A court grants a right of audience in a specific case
(e.g., for a McKenzie friend).
o An employee acting under the supervision of an
authorised person in probate activities.
o Non-commercial organisations like charities and trade
unions may also be exempt.
- Criminal Offence (s 14 Legal Services Act 2007):
o It is a criminal offence to carry out reserved legal
activities without being authorised or exempt.
o Punishable by up to two years' imprisonment.
o Carrying out a reserved legal activity without proper
authority (e.g., rights of audience, conduct of litigation)
may also result in contempt of court.
- Case Example: Re Balli [2011]:
o A solicitor, after losing SRA authorisation and being
struck off, continued to provide legal services and
conduct litigation.
o The court ruled that he deceived the court and legal
professionals, resulting in a six-month prison sentence
for contempt of court.
The Legal - The Legal Services Board (LSB) oversees the regulation of
Services all lawyers in England and Wales.
Board - There are eight separate regulators that manage the day-to-
day regulation of different types of lawyers.
- The LSB was created under the Legal Services Act
2007 and has statutory responsibilities, including ensuring
regulatory standards.
- A body can only regulate legal services if it is approved by
the LSB.
- The LSB coordinates and oversees the regulation of legal
services by these approved regulators.
- Regulatory Objectives (s 1 Legal Services Act 2007):
- The LSB is tasked with promoting several key objectives:
o Protecting and promoting the public interest.
o Supporting the constitutional principle of the rule of
law.
o Improving access to justice.
o Protecting and promoting the interests of consumers.
o Promoting competition in legal services.
o Encouraging an independent, strong, diverse, and
effective legal profession.
o Increasing public understanding of legal rights and
duties.
o Promoting adherence to professional principles.
o Promoting the prevention and detection of economic
crime.
- The LSB holds individual regulators accountable to these
, objectives.
- It monitors their performance, can make recommendations,
impose penalties for deficiencies, and may withdraw
approval if necessary.
- The LSB also controls regulatory changes, requiring its
consent for any modifications made by regulators.
Regulated - Regulation aims to protect the public by ensuring legal
providers service providers meet professional standards.
- Regulated individuals must follow their regulator's rules
concerning education, training, codes of conduct, practice
frameworks, and disciplinary actions.
- Firms are responsible for ensuring compliance with
regulatory standards.
- Individuals within firms are accountable for their own
conduct, regardless of firm-level oversight.:
- A variety of legal service providers are regulated by LSB-
approved regulators, each connected to specific legal
professions or specializations.
- Providers must be regulated if they engage in reserved legal
activities, but often they also perform activities outside that
definition.
- Regulated individuals are bound by regulatory
requirements for all the legal services they provide, whether
those services are reserved or not.
Solicitors
- Largest providers of legal services
Barristers
- Barristers primarily act as advocates in criminal and civil
courts.
- They also provide expert legal advice and draft legal
documents.
- Traditionally, barristers could only be instructed by a solicitor
on behalf of a client.
- This rule has been relaxed, allowing direct instruction of
barristers by the public in some civil cases.
- Most barristers are self-employed and work in chambers,
where they share premises and administrative services with
other barristers.
- Some barristers are employed by organizations such as
the Civil Service, Crown Prosecution Service, law firms,
and corporations.
- The Bar Standards Board is the approved regulator for
barristers.
- It authourises barristers to conduct all reserved legal
activities, except notarial activities.
Chartered legal executives
- Chartered legal executives perform similar tasks to solicitors,
