Summary of Legal Services notes for SQE1

Legal Services – Unit 1. Introduction to Legal Services and the Regulatory Framework for Solicitors
Providers of Legal Services
- Legal services = All manner of advice, assistance and representation relating to the law
- Regulation outside the Legal Services Act 2007
o Providers who carry out work falling outside the LSA 2007 are still subject to specific statutory legal
regulation
Reserved legal activities
- Types:
o The exercise of a right of audience
o The conduct of litigation
o Reserved instrument of activities
o Probate activities
o Notarial activities
o The administration of estates
- Exemptions:
o Rights of audience – For a particular case
o Probate activities – May act under the supervision of an authorised person
o For some non-commercial organisations (eg. charities, independent trade unions)
Regulated providers
- Solicitors (SRA)
- Barristers (Bar Standards Board)
- Chartered legal executives (CILEx Regulation)
- Licensed conveyancers (Council for Licensed Conveyancers)
- Patent attorneys (Intellectual Property Regulation Board)
- Costs Lawyers (Costs Lawyers Standards Board)
- Notaries (Master of Facilities)
The Legal Services Board
- Oversees and coordinates the regulation of legal services
o According to the regulatory objectives set out in the Legal Services Act 2007
- Regulatory objectives:
o Protecting & promoting the public interest
o Supporting the constitutional principal of the rule of law
o Improving access to justice
o Protecting & promoting the interests of consumers
o Promoting competition in the provision of services in the legal sector
o Encouraging an independent, strong, diverse, and effective legal profession
o Increasing public understanding of citizens’ legal rights & duties
o Promoting & maintaining adherence to professional principles of independence & integrity; proper
standards of work; observing the best interest of the client & the duty to the court; maintaining
client confidentiality

, The Regulatory Role of the Solicitors Regulation Authority
- Purpose of the SRA = ‘To protect the public by ensuring that solicitors meet high standards, & by acting when
risks are identified’
- Purpose of regulation:
o Protect consumers of legal services
o Support the operation of the rule of law and the proper administration of justice
- Board of 13 members (6 solicitors, 7 lay members)
SRA Principals:
- Those regulated by the SRA act:
o In a way that upholds the constitutional principle of the rule of law, and the proper administration of
justice
o In a way that upholds public trust and confidence in the solicitors’ profession and in legal services
provided by authorised persons
o With independence
o With honest
o With integrity
o In a way that encourages equality, diversity and inclusion
o In the best interest of each client
Risk-based regulation
- Looks at problems which have actually arises / factors which pose potential problems for the future
o Then assess the risk involved & target resources appropriately
- Each year the SRA publishes a Risk Outlook setting out view of most significant risks affecting the profession
o Each firm must also engage in own risk assessment
Firm-based authorisation
- Only certain types of businesses are eligible for authorisation:
o Recognised sole practice
o Recognised body
 Partnership
 LLP
 Companies
o Licensed bodies
Effect of authorisation:
- A recognised body is entitled to carry on all reserved legal activities
o The business is limited to:
 Professional services of the sort provided by individuals practising as solicitors
 Other professional services (eg. ADR, estate agency, financial services)
o Must have a:
 Compliance Officer for Legal Practice
 Compliance Officer for Finance and Administration
 Both SRA approved
- A licenced body can now carry out the same range of activities as a recognised body
o Must have a:
 Head of Finance and Administration
 Head of Legal Practice