Notes
22 September 2025 16:01
Unit 1
Prep Task 1
- Cautions are considered serious, need to be reported. Also element of dishonesty as he
boarded the train knowing he had no ticket.
- Financial irresponsibility, has elements of dishonesty, needs to be reported
- Code of Conduct - 7.6 You notify the SRA promptly if: you are subject to any criminal charge,
conviction or caution, subject to the Rehabilitation of Offenders Act 1974;
- Assessment of character and suitability - patterns of behaviour that suggest criminality is
relevant to the SRA. SRA takes cautions at face value
- SRA Principles? Snitching?
- regulatory objectives:
Task 2
- Client cannot be charged for any reasonable adjustments based, falls on the service provider
- Cannot discriminate
- Gender based discrimination
1. Race
2. Religion and belief
3. Sex
4. Sexual orientation
5. Age
6. Disability
7. Gender reassignment
8. Marriage/civil partnerships
9. Pregnancy/maternity
Tyrone
- Equality Act - not a protected characteristic
- Professional conduct - Not acting in his best interests, Breach of integrity?
- She took down his details but refused primarily on the basis of his residence
- You can refuse to take a client, the basis cannot be discrimination of a protected
characteristic, morally grey area.
- Principle 6 - inclusion can extend to social mobility?
- S.13.2 - allows difference in treatment if it would be disproportionate burden
Indemnity Insurance
- Everyone needs a mandatory level
- Obligated to top it up depending on the nature of the business
- Premium
Task 3
Protected characteristics
Proactive approach
Problem saying the person should not even apply.
s.15
National Saving Certificate
Business - yes
Legal Services Page 1
,Chapter 1 - Providers of Legal Services
20 September 2025 15:28
1.2 Overview of legal services
- Wide scope makes it difficult to identify some legal services, ie is providing online information a legal
service?
- Legal Services Act 2007 makes a distinction between regulated and non-regulated persons, only
regulated persons can provide 'reserved legal services'
- Services that fall outside of this definition can be provided by anyone
1.3 Reserved legal activities
s.12 Legal Services Act
(a) Right of audience
○ Right to appear before and address a court, Includes the right to call and examine witnesses.
○ Often exempted for LIPs - judge will grant permission to be heard even without authorisation.
(b) Conduct of litigation
○ Covers:
▪ Issuing, Commencing, prosecuting, and defending proceedings in England and Wales.
▪ Performing ancillary functions (e.g. entering an appearance).
(c) Reserved instrument activities
○ Preparing/lodging instruments transferring or charging land, Includes contracts for sale of land,
estate documents, or court instruments.
○ Excludes wills and powers of attorney.
(d) Probate activities - Preparing probate papers for obtaining or opposing grants of probate or letters
of administration.
(e) Notarial activities
○ Traditional functions of notaries under Public Notaries Act 1801.
○ Certifying and authenticating documents.
(f) Administration of oaths - Power to administer oaths (e.g. affidavits).
Authorisation
The Law Society is the approved regulator for solicitors named in the Legal Services Act 2007,
but the regulatory function is carried out in practice by the Solicitors Regulation Authority
(SRA). The SRA deals with authorisation for all the reserved legal activities except notarial
Activities
Criminal offence to carry out reserved legal activity if not regulated, punishable up to 2 years imprisonment.
1.4 The Legal Services Board
Regulatory Objectives (s.1 LSA 2007)
Legal Services Page 2
,Regulatory Objectives (s.1 LSA 2007)
In carrying out its functions, the LSB must promote the following objectives:
• Protecting and promoting the public interest.
• Supporting the constitutional principle of the rule of law.
• Improving access to justice.
• Protecting and promoting the interests of consumers.
• Promoting competition in the provision of legal services.
• Encouraging an independent, strong, diverse, and effective legal profession.
• Increasing public understanding of legal rights and duties.
• Promoting and maintaining adherence to professional principles.
• Promoting the prevention and detection of economic crime.
1.5 Regulated providers
• Solicitors – Largest group of legal service providers; regulated by the Solicitors Regulation Authority
(SRA).
• Barristers – Specialist advocates and advisers; regulated by the Bar Standards Board (can authorise all
reserved legal activities except notarial).
• Chartered legal executives – Similar work to solicitors, usually under supervision; regulated by CILEx
Regulation (can authorise all reserved legal activities except notarial).
• Licensed conveyancers – Property transaction specialists; regulated by the Council for Licensed
Conveyancers (can authorise reserved instrument activities, probate, and administration of oaths).
• Patent attorneys – Patent and intellectual property specialists; regulated by the Intellectual Property
Regulation Board (can authorise all reserved legal activities except probate and notarial).
• Trade mark attorneys – Trade mark law specialists; regulated by the Intellectual Property Regulation
Board (can authorise all reserved legal activities except probate and notarial).
• Costs lawyers – Specialists in legal costs and fees; regulated by the Costs Lawyers Standards Board (can
authorise rights of audience, conduct of litigation, and administering oaths).
• Notaries – Authenticate and certify documents, often with an international element; regulated by the
Master of the Faculties (only regulator for notarial activities; can authorise all reserved legal activities
except rights of audience and conducting litigation).
• Chartered accountants – Can be authorised by the Institute of Chartered Accountants in England and
Wales (ICAEW) to carry out probate activities.
Some providers carry out work which falls outside the Legal Services Act 2007 but they are
nevertheless subject to specific statutory legal regulation ie insolvency practitioners
1.7 Unregulated providers
Typical example of services outside of the reserved services: are will writing, family law advice and
employment law advice.
Legal Services Page 3
, Chapter 2 - Regulatory role of the SRA
20 September 2025 16:38
2.2 The Solicitors Regulation Authority
The SRA is an approved regulator under the Legal Services Act 2007 and, as such, is empowered to authorise
solicitors and firms to carry out ‘reserved legal activities’
- SRA is overseen by the LSB
- SRA must act in a way that is compatible with their objectives.
2.3 Risk-based regulation
- Risk based approach to regulation, it's functions are assessed as to not risk the SRA reaching their
objectives
- Focus is on misconduct likely to harm public interest.
Key Risk Factors
• Firm structure & viability – how a firm is organised and whether it is sustainable.
• Fraud or dishonesty – risks of a firm or individual engaging in unlawful or unethical conduct.
• People, systems & processes – weaknesses in staff, internal systems, or firm procedures.
• Skills, knowledge & behaviours – individuals lacking the competence or professional conduct required.
• Legal market operations – risks arising from the way the market functions or evolves.
• External factors – wider economic, political, or legal changes impacting firms.
For example,
the SRA may identify a risk because a firm is the subject of a number of complaints, assess the risk as high
because the firm is large and therefore a large number of people could be affected and then
conclude that it needs to devote resources to work with the firm to ensure that its procedures
are improved
- The SRA can decide whether limitations are placed on an individuals certificate, firm closure or if a
change in the code of conduct is needed.
- SRA Risk Outlook, publication of risks to the profession
2.4 Firm-based authorisation
Eligible Businesses
- Only certain types of business can get authorisation
- Recognition of sole practices - Solicitor owns practice, authorised by the SRA as 'recognised sole
practice'.
- Recognised body - all managers and interest holders are legally qualified, takes many forms:
○ Partnerships - run by partners, salaried partner/equity partner (shares in firm profit)
○ Limited Liability Partnerships (LLP) - run by members instead of partners
○ Companies - registered under company act, has directors and shareholders
- Licensed Bodies - Ownership, management or control is not wholly in the hands of legally qualified
individuals. One member needs to be authorised and it needs to be a licensable body (one non-
authorised manager or interest holder.
Effect of Authorisation
- Once authorised, a reserved body is entitled to carry out all reserved services
- Business of a recognised body is limited to: Legal services & Other professional services – as listed in
Annex 2 of the Rules, e.g. alternative dispute resolution (ADR), estate agency, and financial services
- Must always have COLP and COFA
Legal Services Page 4
22 September 2025 16:01
Unit 1
Prep Task 1
- Cautions are considered serious, need to be reported. Also element of dishonesty as he
boarded the train knowing he had no ticket.
- Financial irresponsibility, has elements of dishonesty, needs to be reported
- Code of Conduct - 7.6 You notify the SRA promptly if: you are subject to any criminal charge,
conviction or caution, subject to the Rehabilitation of Offenders Act 1974;
- Assessment of character and suitability - patterns of behaviour that suggest criminality is
relevant to the SRA. SRA takes cautions at face value
- SRA Principles? Snitching?
- regulatory objectives:
Task 2
- Client cannot be charged for any reasonable adjustments based, falls on the service provider
- Cannot discriminate
- Gender based discrimination
1. Race
2. Religion and belief
3. Sex
4. Sexual orientation
5. Age
6. Disability
7. Gender reassignment
8. Marriage/civil partnerships
9. Pregnancy/maternity
Tyrone
- Equality Act - not a protected characteristic
- Professional conduct - Not acting in his best interests, Breach of integrity?
- She took down his details but refused primarily on the basis of his residence
- You can refuse to take a client, the basis cannot be discrimination of a protected
characteristic, morally grey area.
- Principle 6 - inclusion can extend to social mobility?
- S.13.2 - allows difference in treatment if it would be disproportionate burden
Indemnity Insurance
- Everyone needs a mandatory level
- Obligated to top it up depending on the nature of the business
- Premium
Task 3
Protected characteristics
Proactive approach
Problem saying the person should not even apply.
s.15
National Saving Certificate
Business - yes
Legal Services Page 1
,Chapter 1 - Providers of Legal Services
20 September 2025 15:28
1.2 Overview of legal services
- Wide scope makes it difficult to identify some legal services, ie is providing online information a legal
service?
- Legal Services Act 2007 makes a distinction between regulated and non-regulated persons, only
regulated persons can provide 'reserved legal services'
- Services that fall outside of this definition can be provided by anyone
1.3 Reserved legal activities
s.12 Legal Services Act
(a) Right of audience
○ Right to appear before and address a court, Includes the right to call and examine witnesses.
○ Often exempted for LIPs - judge will grant permission to be heard even without authorisation.
(b) Conduct of litigation
○ Covers:
▪ Issuing, Commencing, prosecuting, and defending proceedings in England and Wales.
▪ Performing ancillary functions (e.g. entering an appearance).
(c) Reserved instrument activities
○ Preparing/lodging instruments transferring or charging land, Includes contracts for sale of land,
estate documents, or court instruments.
○ Excludes wills and powers of attorney.
(d) Probate activities - Preparing probate papers for obtaining or opposing grants of probate or letters
of administration.
(e) Notarial activities
○ Traditional functions of notaries under Public Notaries Act 1801.
○ Certifying and authenticating documents.
(f) Administration of oaths - Power to administer oaths (e.g. affidavits).
Authorisation
The Law Society is the approved regulator for solicitors named in the Legal Services Act 2007,
but the regulatory function is carried out in practice by the Solicitors Regulation Authority
(SRA). The SRA deals with authorisation for all the reserved legal activities except notarial
Activities
Criminal offence to carry out reserved legal activity if not regulated, punishable up to 2 years imprisonment.
1.4 The Legal Services Board
Regulatory Objectives (s.1 LSA 2007)
Legal Services Page 2
,Regulatory Objectives (s.1 LSA 2007)
In carrying out its functions, the LSB must promote the following objectives:
• Protecting and promoting the public interest.
• Supporting the constitutional principle of the rule of law.
• Improving access to justice.
• Protecting and promoting the interests of consumers.
• Promoting competition in the provision of legal services.
• Encouraging an independent, strong, diverse, and effective legal profession.
• Increasing public understanding of legal rights and duties.
• Promoting and maintaining adherence to professional principles.
• Promoting the prevention and detection of economic crime.
1.5 Regulated providers
• Solicitors – Largest group of legal service providers; regulated by the Solicitors Regulation Authority
(SRA).
• Barristers – Specialist advocates and advisers; regulated by the Bar Standards Board (can authorise all
reserved legal activities except notarial).
• Chartered legal executives – Similar work to solicitors, usually under supervision; regulated by CILEx
Regulation (can authorise all reserved legal activities except notarial).
• Licensed conveyancers – Property transaction specialists; regulated by the Council for Licensed
Conveyancers (can authorise reserved instrument activities, probate, and administration of oaths).
• Patent attorneys – Patent and intellectual property specialists; regulated by the Intellectual Property
Regulation Board (can authorise all reserved legal activities except probate and notarial).
• Trade mark attorneys – Trade mark law specialists; regulated by the Intellectual Property Regulation
Board (can authorise all reserved legal activities except probate and notarial).
• Costs lawyers – Specialists in legal costs and fees; regulated by the Costs Lawyers Standards Board (can
authorise rights of audience, conduct of litigation, and administering oaths).
• Notaries – Authenticate and certify documents, often with an international element; regulated by the
Master of the Faculties (only regulator for notarial activities; can authorise all reserved legal activities
except rights of audience and conducting litigation).
• Chartered accountants – Can be authorised by the Institute of Chartered Accountants in England and
Wales (ICAEW) to carry out probate activities.
Some providers carry out work which falls outside the Legal Services Act 2007 but they are
nevertheless subject to specific statutory legal regulation ie insolvency practitioners
1.7 Unregulated providers
Typical example of services outside of the reserved services: are will writing, family law advice and
employment law advice.
Legal Services Page 3
, Chapter 2 - Regulatory role of the SRA
20 September 2025 16:38
2.2 The Solicitors Regulation Authority
The SRA is an approved regulator under the Legal Services Act 2007 and, as such, is empowered to authorise
solicitors and firms to carry out ‘reserved legal activities’
- SRA is overseen by the LSB
- SRA must act in a way that is compatible with their objectives.
2.3 Risk-based regulation
- Risk based approach to regulation, it's functions are assessed as to not risk the SRA reaching their
objectives
- Focus is on misconduct likely to harm public interest.
Key Risk Factors
• Firm structure & viability – how a firm is organised and whether it is sustainable.
• Fraud or dishonesty – risks of a firm or individual engaging in unlawful or unethical conduct.
• People, systems & processes – weaknesses in staff, internal systems, or firm procedures.
• Skills, knowledge & behaviours – individuals lacking the competence or professional conduct required.
• Legal market operations – risks arising from the way the market functions or evolves.
• External factors – wider economic, political, or legal changes impacting firms.
For example,
the SRA may identify a risk because a firm is the subject of a number of complaints, assess the risk as high
because the firm is large and therefore a large number of people could be affected and then
conclude that it needs to devote resources to work with the firm to ensure that its procedures
are improved
- The SRA can decide whether limitations are placed on an individuals certificate, firm closure or if a
change in the code of conduct is needed.
- SRA Risk Outlook, publication of risks to the profession
2.4 Firm-based authorisation
Eligible Businesses
- Only certain types of business can get authorisation
- Recognition of sole practices - Solicitor owns practice, authorised by the SRA as 'recognised sole
practice'.
- Recognised body - all managers and interest holders are legally qualified, takes many forms:
○ Partnerships - run by partners, salaried partner/equity partner (shares in firm profit)
○ Limited Liability Partnerships (LLP) - run by members instead of partners
○ Companies - registered under company act, has directors and shareholders
- Licensed Bodies - Ownership, management or control is not wholly in the hands of legally qualified
individuals. One member needs to be authorised and it needs to be a licensable body (one non-
authorised manager or interest holder.
Effect of Authorisation
- Once authorised, a reserved body is entitled to carry out all reserved services
- Business of a recognised body is limited to: Legal services & Other professional services – as listed in
Annex 2 of the Rules, e.g. alternative dispute resolution (ADR), estate agency, and financial services
- Must always have COLP and COFA
Legal Services Page 4
