Author: Dom Watts

The Solicitors Regulation Authority (SRA) is the independent regulatory body responsible for overseeing and “policing” solicitors in England and Wales. Formed in January 2007 by the Legal Services Act 2007, the SRA operates independently of the Law Society, although it is formally an arm of the Law Society.

History

The SRA’s origins trace back to the Legal Services Act, which received Royal Assent on 30 October 2007. This landmark legislation ushered in significant opportunities for solicitors, allowing them to collaborate with non-lawyers and attract capital for their businesses within a carefully regulated environment. Prior to the SRA’s establishment, regulation of legal services followed a different framework, but the Act brought about radical changes in how legal services were overseen.

Powers and Responsibilities

The SRA wields substantial powers to regulate solicitors and maintain professional standards. Some of its key responsibilities include:

1. Investigating Misconduct: The SRA has the authority to investigate allegations of misconduct by solicitors. This includes the power to require solicitors to explain their conduct, produce information, and submit relevant documents.
2. Gathering Evidence: The SRA can compel solicitors and other relevant parties to provide information during investigations. Statutory provisions, such as Section 44B of the Solicitors Act 1974 and Section 93 of the Legal Services Act 2007, empower the SRA to gather evidence effectively.
3. Regulatory Changes: The SRA aims to provide solicitors with clear, authoritative guidance on how the Legal Services Act impacts their practices. It facilitates opportunities for solicitors to collaborate with non-lawyers and access capital while ensuring compliance with regulations.

SRA Principles

The Solicitors Regulation Authority (SRA) 7 Principles represent the core ethical standards that are expected to be upheld by those who are regulated.

Should these Principles come into conflict, those which safeguard the wider public interest (such as the rule of law, and public confidence in a trustworthy solicitors’ profession and a safe and effective market for regulated legal services) take precedence over an individual client’s interests. They should, where relevant, inform their client of the circumstances in which their duty to the Court and other professional obligations will outweigh your duty to them.

You act:

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 solicitors’ 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.

SRA 7 Principles

Standards and Regulations

The SRA sets out clear standards and regulations that solicitors must follow. These include ethical guidelines, professional conduct rules, and compliance requirements. By enforcing these standards, the SRA aims to maintain public trust in the legal profession.

SRA Code of Conduct for Solicitors, RELs and RFLs

SRA Code of Conduct for Firms

The SRA Code of Conduct for Solicitors, RELs and RFLs, describes the standards of professionalism that the SRA, and the public expect of individuals (solicitors, registered European lawyers and registered foreign lawyers) authorised by us to provide legal services.

Anti-Money Laundering (AML) Compliance

One critical area of focus for the SRA is anti-money laundering. Solicitors and law firms play a pivotal role in preventing money laundering and terrorist financing. The SRA provides guidance to legal professionals on identifying suspicious transactions, conducting due diligence, and reporting any concerns promptly.

The SRA Code of Conduct for Firms describes the standards and business controls that the SRA, and the public expect of firms (including sole practices) authorised by the SRA to provide legal services.

Choosing a Solicitor

When selecting a solicitor, individuals can use the SRA’s solicitors register to verify a solicitor’s credentials and track record. The register provides essential information about practicing solicitors, including their areas of expertise, qualifications, and any disciplinary history.

Reporting Concerns

If someone encounters issues with a solicitor’s conduct, they can report it to the SRA. Whether it’s unethical behaviour, negligence, or other concerns, the SRA investigates complaints and takes appropriate action when necessary.

Training and Qualification

Aspiring solicitors follow specific pathways to qualification. The SRA oversees the Solicitors Qualifying Examination (SQE), which assesses candidates’ legal knowledge and practical skills. Yearly reviews ensure that the SQE remains effective and relevant.

We recommend you should always seek formal legal advice if required, from a qualified and reputable lawyer (solicitor or barrister).

We have a number of links to Free Legal Resources and Legal Organisations on our Free Legal Advice , Legal Aid and Pro Bono pages.

Check out our articles on Solicitors, Mayo Wynne Baxter Solicitors, Solicitors Disciplinary Tribunal (SDT), Legal Ombudsman, Solicitors from Hell, Barristers, Direct Access Barristers, Bar Standards Board, Bar Council, Law Society, Legal Services Board, Rule of Law and the highly questionable Sussex Family Justice Board.

The Ministry of Injustice is not the Ministry of Justice nor is it affiliated in any way with the justice system, legal profession or any law enforcement agencies.

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You should always seek formal legal advice from a qualified and reputable lawyer (solicitor or barrister).

‘Justice delayed is justice denied’

 William Ewart Gladstone

There are a number of links to Free and Paid For Legal Resources and Legal Organisations on the Free Legal Advice , Legal Aid and Pro Bono pages.

The Legal Services Board (LSB) is an independent regulatory body that oversees the legal services sector in England and Wales. Its role is multifaceted, encompassing standards-setting, approval, regulation of legal services providers, and consumer guidance. Here are the key aspects of the LSB:

1. Purpose and Oversight:
   • The LSB was established under the Legal Services Act 2007.
   • It ensures effective regulation, transparency, and fairness in legal services.
   • The LSB directly regulates lawyers practicing in England and Wales through approved regulators.
   • It oversees the Solicitors Disciplinary Tribunal and the Office for Legal Complaints (which administers the Legal Ombudsman scheme).
   • The LSB also maintains the list of reserved legal activities.
2. Reshaping Legal Services Strategy:
   • The LSB’s strategy aims to reshape legal services to better meet society’s needs.
   • It focuses on fair outcomes, confidence-building, and improved services.
   • The Reshaping Legal Services Conference 2024 explored these themes.
3. Ethics, Transparency, and Diversity:
   • The LSB works on projects related to professional ethics, market transparency, and legal technology and innovation.
   • It promotes a diverse legal services sector accessible to all.

History and Role of the Legal Services Board

The primary mission of the Legal Services Board is to ensure the effective regulation of legal services, promoting transparency, fairness, and consumer protection.

1. Background and Reforms:
   • The Legal Service Act 2007 aimed to modernize the legal sector by introducing independent oversight.
   • It designated professional representative bodies (such as the Bar Council and the Law Society) as approved regulators.
   • These regulators were required to delegate their regulatory functions to independent arms overseen by the LSB.
2. Approved Regulators and Licensing Authorities:
   • The LSB directly regulates lawyers practicing in England and Wales through approved regulators.
   • Some of these regulators also serve as licensing authorities, granting licenses to alternative business structures (ABS) that provide reserved legal activities.
   • Let’s explore the approved regulators and their areas of regulation:
   • Solicitors:
     • Approved Regulator (AR): Law Society (representative body)
     • Independent Regulatory Body: Solicitors Regulation Authority (SRA)
     • Reserved Legal Activities Regulated:
       • Right of audience
       • Conduct of litigation
       • Reserved instrument activities
       • Probate activities
       • Administration of oaths
   • Barristers:
     • Approved Regulator (AR): Bar Council (representative body)
     • Independent Regulatory Body: Bar Standards Board (BSB)
     • Reserved Legal Activities Regulated (similar to solicitors)
   • Chartered Legal Executives:
     • Approved Regulator (AR): Chartered Institute of Legal Executives (CILEX) (representative body)
     • Independent Regulatory Body: CILEx Regulation
     • Reserved Legal Activities Regulated (similar to solicitors)
   • Licensed Conveyancers:
     • Approved Regulator (AR): Council for Licensed Conveyancers (CLC) (regulatory body, no representative functions)
     • Reserved Legal Activities Regulated (specific to conveyancing)
   • Patent Attorneys:
     • Approved Regulator (AR): Chartered Institute of Patent Attorneys (CIPA) (representative body)
     • Independent Regulatory Body: Intellectual Property Regulation Board
     • Reserved Legal Activities Regulated (similar to solicitors)
   • Trade Mark Attorneys:
     • Approved Regulator (AR): Chartered Institute of Trade Mark Attorneys (CITMA) (representative body)
     • Independent Regulatory Body: Intellectual Property Regulation Board
     • Reserved Legal Activities Regulated (similar to solicitors)
3. Oversight and Recommendations:
   • The LSB supervises the entire regulatory framework.
   • It oversees the Solicitors Disciplinary Tribunal and recommends amendments to the list of reserved legal activities.
   • The LSB also ensures the Office for Legal Complaints (which administers the Legal Ombudsman scheme) operates effectively.

For more detailed information, visit the Legal Services Board website.

Check out our articles on What is the Law ?, Rule of Law, Open Justice, Law Society, Law Commission and the highly questionable Sussex Family Justice Board.

The Ministry of Injustice is not the Ministry of Justice nor is it affiliated in any way with the justice system, legal profession or any law enforcement agencies.

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You should always seek formal legal advice from a qualified and reputable lawyer (solicitor or barrister).

‘Justice delayed is justice denied’

 William Ewart Gladstone

There are a number of links to Free and Paid For Legal Resources and Legal Organisations on the Free Legal Advice , Legal Aid and Pro Bono pages.

A Direct Access Barrister, also known as a Public Access Barrister, enables members of the public to directly instruct a qualified barrister without the need for an intermediary such as a solicitor. This scheme provides individuals and companies with a more accessible and cost-effective way to seek legal advice and representation.

The Direct Access Scheme

The Direct Access Scheme allows clients to bypass the traditional route of engaging a solicitor and directly engage a barrister. Here’s what you need to know:

• Instructing an Authorised Barrister: Under this scheme, you can instruct an authorised barrister directly. These barristers are qualified and regulated by the Bar Standards Board (BSB).
• Scope of Services: A direct access barrister can provide a range of legal services, including:
  • Expert legal advice on case merits and potential outcomes.
  • Assistance with drafting correspondence.
  • Drafting statements from litigants and witnesses.
  • Preparing formal court documents.
  • Advising on suitable experts and drafting instructions to expert witnesses.
  • Guidance on the next steps in legal proceedings.
  • Assistance in resolving your case.
  • Representation in court.
• Limitations: Most direct access barristers do not conduct litigation. Therefore, the day-to-day management of your case remains your responsibility.

Eligibility and Legal Aid

Here are some important points regarding eligibility and legal aid:

• Legal Aid Exclusion: Direct access barristers cannot undertake publicly funded (legal aid) work. If you believe you qualify for legal aid, you can check your eligibility using the Legal Aid Eligibility Calculator.
• Privately Funded Basis: If you are eligible for legal aid but prefer direct access, you can still instruct a barrister on a privately funded basis.

Benefits of a Direct Access Barrister

Why choose a direct access barrister?

• Cost Savings: By eliminating the need for a solicitor, you can save on legal fees.
• Control and Efficiency: You have direct control over your case, allowing for efficient communication and decision-making.
• Specialist Advice: Direct access barristers often specialize in specific areas of law, providing tailored expertise.

Using the Direct Access Portal

The Direct Access Portal (DAP), launched in March 2022, offers an improved process for finding suitable direct access barristers. Run by the Bar Council, the DAP ensures that all listed barristers meet the necessary qualifications and standards.

• Search and Contact: Use the DAP to search for and contact specialist barristers directly.
• Complaints: The DAP does not handle complaints against barristers. If you have a complaint, contact the barrister directly and request their complaints procedure or contact the Bar Standards Board.

In summary, direct access barristers empower individuals and businesses to access legal services efficiently, while maintaining control over their cases.

Whether you need advice, representation, or assistance, a direct access barrister offers a transparent and accessible path to justice.

Check out our articles on Barristers, Four Inns of Court, Council of the Inns of Court, Bar Standards Board, Bar Council, Bar Standards Board Justice ?, Solicitors, Rule of Law and the highly questionable Sussex Family Justice Board.

The Ministry of Injustice is not the Ministry of Justice nor is it affiliated in any way with the justice system, legal profession or any law enforcement agencies.

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All Articles can be found in the Legal Blog or Sitemap.

You should always seek formal legal advice from a qualified and reputable lawyer (solicitor or barrister).

‘Justice delayed is justice denied’

 William Ewart Gladstone

There are a number of links to Free and Paid For Legal Resources and Legal Organisations on the Free Legal Advice , Legal Aid and Pro Bono pages.

A paralegal is a legal professional who performs tasks that require knowledge of legal concepts but does not hold the full expertise of a lawyer with an admission to practice law. These skilled individuals play a crucial role in supporting lawyers and law firms across various legal domains.

Tasks and Responsibilities

Paralegals engage in a wide range of duties, assisting lawyers in their day-to-day work. Some common tasks include:

• Legal Research: Conducting research on case law, statutes, regulations, and legal precedents.
• Document Preparation: Drafting legal documents, contracts, and correspondence.
• Interviewing Witnesses: Gathering information from witnesses and clients.
• Case Management: Organizing case files, maintaining records, and tracking deadlines.
• Trial Preparation: Assisting in trial preparation by organizing evidence, witness lists, and exhibits.
• Client Communication: Maintaining professional communication with clients.

Distinction Between Paralegals and Lawyers

While lawyers analyse legal matters from various angles, considering implications, consequences, and strategy, paralegals focus on executing the course of action recommended by lawyers. Their work involves practical implementation, such as interviewing witnesses, conducting research, and completing legal paperwork.

Crossover with Lawyers

In some practice areas, paralegals handle cases from start to finish, especially when dealing with routine matters like conveyancing, probate, debt recovery, or small claims. However, lawyers continue to handle complex cases or those involving substantial sums of money, such as mergers, murder trials, and high-stakes divorces. Paralegals’ involvement in such instances tends to be peripheral.

Examples of Paralegal Work

Here are some real-world examples of paralegal tasks:

• Probate and Family Law: Handling divorce cases or probate matters within a solicitors’ firm.
• Property Transactions: Assisting in land purchases and property sales for development companies.
• Trademark Registration: Registering and defending trademarks for businesses.
• Animal Cruelty Prosecutions: Working with the RSPCA prosecutions team.
• Immigration Law Advice: Providing immigration law guidance to clients.
• Consumer Law Protection: Advising on consumer rights within local authority trading standards departments.
• Citizens Advice Volunteer: Assisting the public with employment, housing, and other issues.
• Crown Prosecution Service: Supporting legal proceedings.
• Company Incorporation: Handling company secretarial work for solicitors’ firms, accountancy firms, or company formation practices

Paralegal Links

Certainly! Here’s a curated list of UK-based paralegal websites that you might find valuable:

1. Professional Paralegal Register (PPR): The PPR is a voluntary registered scheme and regulator for professional paralegals. Employers and the public can be assured that paralegals on the register meet required standards. Paralegals with a Paralegal Practising Certificate (PPC) are fully regulated to offer legal services to consumers.
2. How to Become a Paralegal in the UK: This website provides insights into becoming a paralegal in the UK. It also highlights job opportunities advertised on platforms like Indeed and Reed.
3. UK Law Blogs: Discover the best UK law blogs ranked by traffic, social media followers, and freshness. Stay updated on legal trends and news from these informative blogs.
4. National Paralegal Register: If you’re looking for a paralegal to assist with a legal issue, use this register. You can shortlist paralegals based on region and legal expertise. Check if a paralegal is a NALP member using the filters.

In summary, paralegals are essential contributors to the legal field, bridging the gap between legal theory and practical implementation. Their expertise ensures the efficient functioning of legal processes and supports lawyers in delivering effective legal services.

Check out our articles on Barristers, Direct Access Barristers, Four Inns of Court, Bar Standards Board, Bar Council, Solicitors, Rule of Law and the highly questionable Sussex Family Justice Board.

The Ministry of Injustice is not the Ministry of Justice nor is it affiliated in any way with the justice system, legal profession or any law enforcement agencies.

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All Articles can be found in the Legal Blog or Sitemap.

You should always seek formal legal advice from a qualified and reputable lawyer (solicitor or barrister).

‘Justice delayed is justice denied’

 William Ewart Gladstone

There are a number of links to Free and Paid For Legal Resources and Legal Organisations on the Free Legal Advice , Legal Aid and Pro Bono pages.