Revision Killer SQE Flashcard
Legal Services (FLK1)
THE REGULATORY ROLE OF THE SRA, RESERVED LEGAL There are two Codes of Conduct which apply to all The exercise of a right of audience
ACTIVITIES, OTHER REGULATED PROVIDERS OF LEGAL solicitors, firms, Registered European lawyers and The conduct of litigation
SERVICES Registered Foreign lawyers authorised by the SRA: Reserved instrument activities
* Code of Conduct for Solicitors, Registered European Probate activities
The SRA authorises and regulates: Lawyers and Registered Foreign Lawyers Notarial activities
e Firms (authorised bodies) * Code of Conduct for Firms The administration of oaths
¢ Individuals (trainee solicitors, qualified solicitors, A person must be authorised to carry out a reserved
Registered European lawyers and Registered Foreign Principles And Risk Based Regulation: legal activity by an approved regulator, which in the
lawyers) The SRA’s regulatory objectives are set out in s.1, Legal case of the solicitor profession, is the SRA
Authorised bodies include: Services Act 2007:
* A Licensed Body - Such as an alternative business Protecting and promoting the public interest Professional Indemnity Insurance:
.
structure where legal services are offered alongside Supporting the constitutional principle of the rule of law SRA authorised bodies and their managers are obliged to
non-legal services Improving access to justice purchase qualifying insurance on the SRA’s minimum terms
* A Recognised Body - A legal services body where the Protecting and promoting the interests of consumers and conditions (i.e. a minimum level) but are also subject
at least 75% of the owners and managers are lawyers. Promoting competition in the provision of legal to the adequate and appropriate insurance requirement (Rule
These include traditional law firm partnerships, services 3.1, SRA Indemnity Insurance Rules)
limited liability partnerships, and companies Encouraging an independent, strong, diverse and
A Recognised Sole Practice - A firm which is the effective legal profession Rule 3.1 states that an authorised body must take out
practice of a sole solicitor or Registered European Increasing public understanding of the citizen’s legal and maintain professional indemnity insurance that
lawyer rights and duties provides adequate and appropriate cover in respect of
To be authorised to practise as a solicitor an Promoting and maintaining adherence to the current or past practice taking into account alternative
individual must: professional principles which are that: arrangements the body or its clients may make
¢ Be admitted as a solicitor ¢ Authorised persons should act with independence and
¢ Have his name on the roll integrity THE EQUALITY ACT 2010
* Have a practising certificate (issued by the SRA) Authorised persons should maintain proper standards
Under the Standards and Regulations, seven principles apply of work The Equality Act 2010:
to individual lawyers and firms. Solicitors must act: Authorised persons should act in the best interests It is unlawful to discriminate against someone on the
¢ In a way that upholds the constitutional principle of their clients grounds of any of the protected characteristics (age,
of the rule of law, and the proper administration of Persons who exercise before any court a right of disability, gender reassignment, marriage or civil
justice audience, or conduct litigation in relation to partnership, pregnancy and maternity, race, religion or
In a way that upholds public trust and confidence proceedings in any court, by virtue of being authorised belief, sex (gender) and sexual orientation)
in the solicitors’ profession and in legal services persons should comply with their duty to the court to The four main types of discrimination are: direct,
provided by authorised persons act with independence in the interests of justice indirect, harassment and victimisation
With independence The affairs of clients should be kept confidential In relation to disability, the Equality Act 201@ imposes a duty
With honesty to take steps to avoid unfairness and make reasonable adjustments
With integrity Reserved Legal Activities: for disabled persons that may put them a substantial disadvantage
In a way that encourages equality, diversity and Only individuals and businesses authorised by an Principle 6 of Standards and Regulations requires solicitors to
inclusion approved regulator or those exempt from the requirement act in a way that encourages equality, diversity and inclusion
In the best interests of each client to be authorised are entitled to provide reserved legal and this includes a direct duty to comply with the Equality Act
activities (s.13, LSA 2007): 2016 in all dealings with colleagues, clients and third parties
Legal Services (FLK1)
THE REGULATORY ROLE OF THE SRA, RESERVED LEGAL There are two Codes of Conduct which apply to all The exercise of a right of audience
ACTIVITIES, OTHER REGULATED PROVIDERS OF LEGAL solicitors, firms, Registered European lawyers and The conduct of litigation
SERVICES Registered Foreign lawyers authorised by the SRA: Reserved instrument activities
* Code of Conduct for Solicitors, Registered European Probate activities
The SRA authorises and regulates: Lawyers and Registered Foreign Lawyers Notarial activities
e Firms (authorised bodies) * Code of Conduct for Firms The administration of oaths
¢ Individuals (trainee solicitors, qualified solicitors, A person must be authorised to carry out a reserved
Registered European lawyers and Registered Foreign Principles And Risk Based Regulation: legal activity by an approved regulator, which in the
lawyers) The SRA’s regulatory objectives are set out in s.1, Legal case of the solicitor profession, is the SRA
Authorised bodies include: Services Act 2007:
* A Licensed Body - Such as an alternative business Protecting and promoting the public interest Professional Indemnity Insurance:
.
structure where legal services are offered alongside Supporting the constitutional principle of the rule of law SRA authorised bodies and their managers are obliged to
non-legal services Improving access to justice purchase qualifying insurance on the SRA’s minimum terms
* A Recognised Body - A legal services body where the Protecting and promoting the interests of consumers and conditions (i.e. a minimum level) but are also subject
at least 75% of the owners and managers are lawyers. Promoting competition in the provision of legal to the adequate and appropriate insurance requirement (Rule
These include traditional law firm partnerships, services 3.1, SRA Indemnity Insurance Rules)
limited liability partnerships, and companies Encouraging an independent, strong, diverse and
A Recognised Sole Practice - A firm which is the effective legal profession Rule 3.1 states that an authorised body must take out
practice of a sole solicitor or Registered European Increasing public understanding of the citizen’s legal and maintain professional indemnity insurance that
lawyer rights and duties provides adequate and appropriate cover in respect of
To be authorised to practise as a solicitor an Promoting and maintaining adherence to the current or past practice taking into account alternative
individual must: professional principles which are that: arrangements the body or its clients may make
¢ Be admitted as a solicitor ¢ Authorised persons should act with independence and
¢ Have his name on the roll integrity THE EQUALITY ACT 2010
* Have a practising certificate (issued by the SRA) Authorised persons should maintain proper standards
Under the Standards and Regulations, seven principles apply of work The Equality Act 2010:
to individual lawyers and firms. Solicitors must act: Authorised persons should act in the best interests It is unlawful to discriminate against someone on the
¢ In a way that upholds the constitutional principle of their clients grounds of any of the protected characteristics (age,
of the rule of law, and the proper administration of Persons who exercise before any court a right of disability, gender reassignment, marriage or civil
justice audience, or conduct litigation in relation to partnership, pregnancy and maternity, race, religion or
In a way that upholds public trust and confidence proceedings in any court, by virtue of being authorised belief, sex (gender) and sexual orientation)
in the solicitors’ profession and in legal services persons should comply with their duty to the court to The four main types of discrimination are: direct,
provided by authorised persons act with independence in the interests of justice indirect, harassment and victimisation
With independence The affairs of clients should be kept confidential In relation to disability, the Equality Act 201@ imposes a duty
With honesty to take steps to avoid unfairness and make reasonable adjustments
With integrity Reserved Legal Activities: for disabled persons that may put them a substantial disadvantage
In a way that encourages equality, diversity and Only individuals and businesses authorised by an Principle 6 of Standards and Regulations requires solicitors to
inclusion approved regulator or those exempt from the requirement act in a way that encourages equality, diversity and inclusion
In the best interests of each client to be authorised are entitled to provide reserved legal and this includes a direct duty to comply with the Equality Act
activities (s.13, LSA 2007): 2016 in all dealings with colleagues, clients and third parties
