Summary
Summary LEGAL SERVICES
LEGAL SERVICES notes for the SQE 1 exams
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LEGAL SERVICESReserved Legal Activities
S12 Legal Services Act 2007: 6 types of legal work defined as reserved legal
activities and these are:
1. The Exercise of a right of audience
a. The right to appear before and address a court including the right to
call and examine witnesses
2. The conduct of litigation
a. This means:
i. Issuing of proceeding before any Court
ii. The commencing, prosecuting and defending of those
proceedings and
iii. The performing of any ancillary functions in relation to those
proceedings
b. Media Protection Services Ltd v Crawford:
i. By the direction laying of the information, this constituted the
commencing of the legal proceedings. The director had acted
unlawfully in carrying out a reserved legal activity whilst
unauthorised. The private prosecution itself was therefore held
to be unlawful
c. JK v MK and E-Negotiation Ltd
i. Parties used an online divorce facilitator to assist in draft
documents and court order. The documents were lodged at the
court by the parties themselves. The court held that therefore
the unregulated company behind the online facilitator has not
been engaged in the conduct of litigation.
3. Reserved Instrument Activities
a. Preparing and lodging an instrument dealing with the transfer or charge
of land, relating to real or personal estate or an instrument relating to
court proceedings
4. Probate activities
a. Preparing probate papers
5. Notarial Activities
a. Relates to activities which prior to the Legal Services Act 2007 were
customarily carried out by notaries under the Public Notaries Act 1801
6. The Administration of Oaths
a. The power to administer an oath
,Authorisation
- S13 Legal Services Act 2007 – reserved legal activities can only be carried
out by those who are authorised or exempt
- S18- a person must be authorised by a relevant approved regulator
- The Law Society is the approved regulator for solicitors in the Legal Services
Act 2007 but the regulatory function is carried out in practice by the Solicitors
Regulation Authority
- S19 lists circumstances in which a person is exempt in relation to each of the
reserved legal activities
- S14- it is a criminal offence for a person to carry on a reserved legal activity if
that person is neither authorised nor exempt
o Punishable by up to 2 years imprisonment
- Re Balli
o A solicitor who had his SRA authorisation withdrawn and was struck off
by the Solicitors’ Disciplinary Tribunal, continued to provide legal
services and conduct litigation for his clients.
o The court imposed a 6 month prison sentence for contempt of court
The Legal Services Board
- The Legal Services Board is responsible for overseeing the regulation of all
lawyers in England and Wales
- In exercising its functions, the LSB has a duty to promote the s1 regulatory
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 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 and duties
o Promoting and maintaining adherence to the professional principles of
independence and integrity, proper standards of work, observing the
best interests of the clients and the duty to the court and maintaining
client confidentiality
- The LSB monitors the way in which the regulators operate and can make
recommendations for improvement, impose penalties for deficiencies or
ultimately withdraw approval
,Regulated Providers
- Solicitors
o Solicitors are the largest providers of legal services
- Barristers
o Act as advocates in criminal and civil courts
o Most barristers are self-employed and work in sets of chambers
sharing premises and administrative facilities
o Approved regulator is the Bar Standards Board
- Chartered Legal Executives
o Similar role to solicitors
o Work within law firms under the supervision of a solicitor
o Approved regulator is CILEx Regulation
- Licensed Conveyancers
o Deal with property transactions
o Approved regulator is the Council for Licensed Conveyancers
- Patent Attorneys
o Specialise in patents and intellectual property
o Approved regulator is Intellectual Property Regulation Board
- Trade Mark Attorneys
o Approved regulator is Intellectual Property Regulation Board
- Costs Lawyers
o Specialise in legal fees and costs
o Approved regulators is the Costs Lawyers Standards Board
- Notaries
o Appointed by the Archbishop of Canterbury
o Authenticate and certify signatures and documents
o Approved regulator is the Master of the Faculties
The only regulator who can authorise notarial activities
- Chartered Accountants
o Authorised by the Institute of Chartered Accountants in England and
Wales
Outside the Legal Services Act 2007
- Claims Management Companies – regulated by the Financial Conduct
Authority
- Immigration Advisers – regulated by the Office of the Immigration Services
Commissioner
- Insolvency Practitioners – regulated by the Insolvency Practitioners
Association
, THE REGULATORY ROLE OF THE SOLICITORS REGULATION AUTHORITY
- The purpose of the SRA is to protect the public by ensuring that solicitors
meet high standards, and by acting when risks are identified
o The purpose of its regulation is to:
Protect consumers of legal services and
Support the operation of the rule of law and the proper
administration of justice
- SRA is governed by a board of 11 members – 5 solicitors and 6 lay members
- Its budget is funded by the practising certificate fee
SRA Principles
1. In a way that upholds the constitutional principle of the rule of law and the
proper administration of justice
2. In a way that upholds public trust and confidence in the solicitor’s profession
and in legal services provided by authorised persons
3. With independence
4. With honesty
5. With integrity
6. In a way that encourages equality, diversity and inclusion
7. In the best interests of each client
Risk-based Regulation
- SRA takes a risk based approach to regulation, this means that in exercising
its regulatory functions, the SRA assesses the risk to the SRA achieving its
regulatory objectives
- The risk is a combination of the certain event occurring and the probabilities
that the event will occur
- Risk identification covers multiple levels: individual solicitors, firms and
profession-wide
- SRA aims to be proactive and address issues before they become problems
- Each year the SRA published its Risk Outlook – in which it sets out its view of
the most significant risks affecting the profession
Firm-Based Authorisation
Eligible Business
- Only certain types of businesses are eligible for authorisation. These are:
o Recognised Sole Practice
A sole practitioner is a solicitor who chooses to practise alone
They are authorised by the SRA as a recognised sole practice
rather than recognising the individual as a sole practitioner
o Recognised Body
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