Part A – Regulation
The Regulatory Framework
- Introduction
- Legal Services Act 2007
- Protecting the consumer
- The Legal Services Board
- Activity based regulation
- The reserved legal activities
- Exempt provision of reserved legal activities
- Approved Regulators and Licensing Authorities
- Entity regulation
- Transitional arrangements for non-commercial bodies
- Alternative Business Structures
- Other activity based statutory schemes
- Claims management services
- Immigration services
- Financial Services
- Consumer credit
- Anti-money laundering requirements
- Restrictions on separate businesses
- Profession based regulation
- Solicitors
- Barristers
- Licensed Conveyancers
- Patent Attorneys & Trade Mark Attorneys
- Notaries
- Complaints handling and the Legal Ombudsman
- Jurisdiction
- Powers
- Challenges to Ombudsman decisions
- Self-regulatory schemes
Authorisation
- Solicitors Regulation Authority
- Qualification requirements
- Practise rights
- Practising certificates
- Permitted modes of practice
- In-house practice
- The authorisation of entities
- Legal Services Bodies (Legal Disciplinary Practices)
- Multi-Disciplinary Practices
- Entity authorisation process
- Compliance officers
- Approval of owners and managers
- Approval of corporate owners
- Criteria for the authorisation of entities
- Ongoing compliance
- Supervision and Training requirements
- Waivers
- Bar Standards Board
- Qualification requirements
- Pupillage
- Practise Rights
- Entity regulation
- Council for Licensed Conveyancers
- Qualification requirements
- Practise rights
- Entity regulation
- ILEX Professional Standards
- Qualification requirements
- Practise rights
- Entity regulation
- Intellectual Property Regulation Board
- Qualification requirements
- Practise rights
- Entity regulation
- Faculty Office
- Qualification requirements
- Practise rights
- Costs Lawyers Standards Board
- Qualification requirements
- Practise rights
- Institute of Chartered Accountants of England & Wales
Codes and Compliance (including Money Laundering)
- Introduction
- Dealing with clients
- Client care: solicitors
- Client care: barristers
- Provision of Services Regulations 2009
- The Consumer Contracts Regulations 2013
- Discrimination and reasonable adjustments
- Conflicts of interests
- Solicitors: client conflicts
- Solicitors: own interest conflicts
- Solicitors: confidentiality conflicts
- Barristers
- Confidentiality and disclosure
- Solicitors
- Barristers
- Overlap with data protection law
- Duty to the court
- Solicitors: misleading the court
- Solicitors: abusive litigation
- Solicitors: litigation and the court
- Barristers: the duty to the court
- Barristers: misleading the court
- Barristers: witness evidence
- Barristers: abuse of the role of advocate
- Undertakings
- Practice management
- Solicitors: governance and systems
- Solicitors: staff and supervision of work
- Solicitors: referral arrangements
- Solicitors: client money
- Solicitors: professional indemnity insurance
- Solicitors: separate businesses
- Barristers: governance and systems
- Barristers: referrals
- Barristers: public access
- Practise rights
- Publicity
- Financial services
- Regulated activities
- Financial promotions
- Application of the rules
- In-house lawyers
- Overseas lawyers
- Overseas practice
- Chartered Legal Executives
- Licensed Conveyancers
- Other authorised persons
- Anti-money laundering and the Bribery Act
- Anti-money laundering legislation
- Proceeds of Crime Act and the Terrorism Act
- Bribery Act
Misconduct
- Introduction
- Rules and Codes
- The nature of Codes
- Strict liability for Rule breaches
- The Meaning of Misconduct
- The nature of misconduct
- Rule breaches and misconduct
- Negligence and misconduct
- Professional judgement and misconduct
- Misconduct and “improper conduct”
- Misconduct based upon principles
- Objectives in penalising misconduct
- The Seriousness of Misconduct
- Assessing seriousness
- Dishonesty
- Criminal offences not limited to dishonesty
- Premeditation
- Conspiracy
- Repetition and duration
- Positions of trust
- Motivation
- Harm
- Concealment
- Public confidence
- Seniority
- Individuals affected
- Individual control
- Discrimination
- Sentencing
- Factors other than seriousness
- Importance of the view of expert tribunal
- Areas of Misconduct
- Unauthorised practice
- Misrepresentation of structures
- Loss of independence
- Responsible administration
- Client account
- Collateral benefits
- Overcharging
- Group compensation claims and intermediaries
- Conflicts
- Transactions with clients
- Confidentiality
- Insurance
- Solvency
- Frauds by clients
- Duty to the court
- Dealings with prisoners
- Dishonesty and integrity
- Undertakings
- Communications – offensive letters
- Dealings with the Regulator
- Conduct outside of practice
- Unfitness to practice
- Responsibility for Others
- Responsibility of partners
- Responsibility of COLP/COFA
- Supervision
Supervision, Investigation and Enforcement
- Introduction
- SRA Supervision and Investigation
- Supervision
- Investigation
- Individuals and firms
- Investigative powers
- The rule-based powers
- The statutory powers
- Disclosure of investigative information to third parties
- Explanation by the regulated person
- The report stage
- Representations following the report
- The SRA’s duty of care
- SRA Enforcement
- Enforcement decisions
- The disciplinary powers of the SRA
- SRA Disciplinary Procedure Rules 2011 – Enforcement
- The statutory framework of practising certificate regulation
- SRA Practising Regulations 2011
- Examples of practising certificate conditions
- Appeals in relation to practising certificates
- Appeals to the High Court
- Interventions
- The nature of intervention
- The grounds for intervention
- The grounds for limited intervention
- The powers exercisable o intervention
- The statutory trust
- The practice documents
- Ancillary court orders
- The costs of intervention
- Intervention challenges
- Time limit
- The nature of the proceedings
- The methodology of the court’s decision
- The balancing exercise
- Intervention and Human Rights
- Delayed decisions to intervene
- Unpaid bills and work in progress
- Interim injunctions
- SRA Referral to the Solicitors Disciplinary Tribunal
- The Bar Standards Board
- Establishment
- Supervision
- Enforcement
- Entity regulation
- Licensed Conveyancers
- Powers
- The framework of CLC decisions
- The Intellectual Property Board
- The Costs Lawyers Standards Board
Tribunals
- Introduction
- The Solicitors Disciplinary Tribunal
- Constitution
- Absolute privilege
- Jurisdiction and powers of Tribunal
- Orders of the Tribunal
- Appeals from the Tribunal
- The approach of the court
- Appeals to the Tribunal instead of the High Court
- Applications to the Tribunal
- Certification of a case to answer
- Further allegations
- Applications against solicitors’ employees
- Restoration and ending suspensions
- Service, directions and listing
- Case management
- Evidence
- Disclosure of documents
- Evidence from the police
- Previous findings of record
- Hearings and findings
- Publicity
- Standard of proof
- Sanctions and penalties
- Fines and costs
- Rehearing where the respondent is not present
- Adjournments
- Abuse of process
- Bias
- Regulatory settlements
- Appeals to the Tribunal
- Restoration to the Roll
- The Jurisdiction of the High Court over Solicitors
- The Bar Disciplinary Tribunal
- Constitution
- Referral of disciplinary charges
- Procedure to trial
- Conduct of hearing
- Sanctions
- Appeal
- Costs
- Publication
- The Council for Licensed Conveyancers
- Notaries
- The Intellectual Property Regulation Board
- Chartered Institute of Legal Executives
- Costs Lawyer Standards Board
Part B – Lawyers' Legal Duties
The Client Contract
- The Solicitors’ Retainer
- Formalities
- Contract by conduct
- Description of services
- General retainers
- Inexperienced clients
- Identifying the client
- Termination of the client contract
- Termination by the solicitor
- Failure to make payments on account
- Termination by operation of law
- Particular Types of Client
- Multiple individuals
- Agents and other forms of representative
- Clubs and other unincorporated bodies
- Companies
- Children
- Clients subject to mental incapacity
- Trustees and executors
- Trade Unions
- Insurers
- Trustee in bankruptcy
- Liquidators
- Administrators
- Partnerships
- Statutory corporations
- Solicitors’ Standard Terms
- Client care information
- Matters commonly dealt with in standard terms
- Formalities
- Charges and payments
- Control of information
- Client obligations
- Risk sharing
- Complaints and disputes
- General clauses
- Barristers’ Standard Terms – The Combar Terms
- Introduction
- Formalities
- Charges and payments
- Control of information
- Client/solicitor obligations
- Risk sharing
- Termination
- Authority
- Barristers and Direct Access
Fiduciary and Other Duties
- Fiduciary Duties
- Nature of the duties
- Other lawyers as fiduciaries
- Undivided loyalty
- Fiduciary duties and the client retainer
- Undue influence and transactions with clients
- Gifts to a lawyer
- Use of information and disclosure duties
- Profits and benefits
- Fiduciary responsibilities for client funds
- Conflicts of interest
- Actual conflict
- The component parts of conflict
- Business partner conflicts
- Joint venturers and company promoter conflicts
- Lender/borrower conflicts
- Insurers and insured conflicts
- Confidentiality
- The duty of confidence
- The risk of disclosure
- Confidentiality and changing employment
- Confidentiality and merger
- Confidentiality and inadvertent disclosure
- Legal Professional Privilege
- The nature of privilege
- Loss of LPP
- Privilege and public authorities
- Crime/fraud exception
- SRA investigations and privilege
- Self-incrimination
- Required nature of adviser
- The Enforcement of Undertakings
- The basis of enforcement
- Limits on enforceability
- Disputed undertakings
- Undertakings and lenders
- Undertakings outside practice
- Authority
- Actual authority
- Ostensible authority
- Usual authority
- Partners, members and directors
- Lawyer’s warranty of authority
- Liability for wrongdoing
- Liability for client account shortage
- Dishonest employee
- The position of salaried partners
Lawyers’ Negligence – the Legal Framework
- Scope of the retainer: ‘What was the solicitor instructed to do?’
- Limits to scope of work
- Implied duties in the retainer
- Involvement of other advisers
- Relevance of experience and knowledge of the client
- Division of responsibility between the lawyer and the client
- Duties to third parties arising from the retainer
- Standard of care: ‘Were the instructions carried out with due care and skill?’
- Errors of judgment
- Hindsight
- Reliance on advice by Counsel
- Standard applicable to barristers
- Compensation: ‘Which losses can be compensated?’
- What were the losses?
- Which of those losses were foreseeable and fell within the scope of the lawyer’s duty?
- Was the lawyer’s breach of duty the cause of the client’s loss?
- Were there any restrictions on or exclusions of liability?
- Was there any contributory liability on the part of the client or other advisers?
- What was the value of any loss of chance?
- Limitation defences
- Date of damage
- Date of knowledge
- Procedure
- Pre-action
- Part 36
- Proceedings
- Case management
- Expert evidence
Negligence Claims and Complaints to the Legal Ombudsman
- Litigation
- Missed limitation period
- Flawed advice
- Failure to take instructions
- Failure to comply with the CPR
- Conveyancing
- Inadequate pre-contract checks
- Inadequate advice on planning
- Drafting errors
- Legal Ombudsman complaints concerning conveyancing
- Wills and probate
- Errors in execution and negligent drafting
- Failure to take instructions
- Delay
- Failing to check capacity
- Errors in execution
- Legal Ombudsman complaints concerning wills and probate
- Other practice areas
- Legal Ombudsman statistics
Part C - The Business of Law
Indemnity Insurance and Compensation Funds
- Introduction
- Solicitors’ insurance
- History
- The current scheme
- Participating insurers
- The Assigned Risks Pool
- Extended Indemnity Periods
- Barristers’ insurance
- Minimum level of cover
- Insurance and the "Cab-rank" rule
- CILEx insurance
- Licensed Conveyancers’ insurance
- Limits on self-insured excess
- Other Professions
- Patent Attorneys, Trade Mark Attorneys, Costs Lawyers and Notaries
- Costs Lawyers
- Notaries
- Alternative Business Structures and combinations of professions
- Obtaining insurance
- Obligations when applying for insurance
- The role of the Broker
- Who is the insured?
- Insured - definitions
- Limits of insurance - What claims are insured?
- Exclusions
- Normal exclusions
- Dishonesty
- Corporate dishonesty
- Condoning dishonesty
- Sham partnerships
- Aggregation
- Other coverage issues
- In-house, informal advice and advice as part of a voluntary service
- Closing a firm
- Takeovers and mergers
- Notification of claims
- The insurer’s solvency
- Practical implications of insurer insolvency
- Insurers’ entitlement to documents
- Compensation schemes
- SRA Compensation Fund
- The CLC Compensation Fund
- IPS proposed compensation fund
- Notaries’ Contingency Fund
Protection of Lawyers’ Goodwill
- Introduction
- Interests protectable by contract
- The principles
- The client relationship
- Relationship with referrers
- Relationship with employees
- Relationship with suppliers
- Confidential information
- Reputation
- Copyright and know-how
- The limits of protection
- The doctrine of restraint of trade
- Reasonableness between the parties
- The public interest
- Contractual provisions applying after termination
- Contractual provisions applying before termination
- Principles of construction
- Implied duties
- Fidelity
- Persons owing duties
- Implied duties of partners, members and directors
- Conflicting personal interests
- Preparations for departure
- Implied duties of employees
- The right to skills and experience
- Other protective measures
- Oblique restraints
- Gardening leave
- International issues
- Injunctions and damages
- The application of the general principles
- The limits of precedent
- The principles applied
- Cases relating to lawyers
- Lawyers’ special understanding
- The relevance of a lawyer’s duties of fidelity and integrity
- The relevance of an employed lawyer’s specialisation
- Injunctions and the interests of clients
- Departmentalised firms
- Inadvertent dissolution of partnership
- No implied covenants in a solicitor’s contract
- Solicitors and geographical restrictions
- A lawyer’s fiduciary and other duties
- The modern overview in relation to solicitors
- Specific issues
- The protection of confidential information
- Databases
- Teams
- Barristers
- Mergers, insolvencies and acquisitions
- The dissolution of partnerships
- Web rights
- Meta tags
- Adwords
- Domain names
- Case management and other software
- Copyright and trade marks
- Passing off
- Defamation and harassment
Structures, Fees and Financial Stability
Business Structures
- Introduction
- Solicitors
- Limited liability
- Separation of ownership and control
- Nature of rights and obligations
- Employment status
- Tax
- Conversion Issues
- Barristers
- The conventional Chambers model
- The constitution
- Contractual capacity and the use of service companies
- Intellectual property
- Barrister-led entities
- Premises
Fees & Costs
- Introduction
- Entitlement to costs
- Retainer
- Solicitors
- Rules for other professions
- Contentious and non-contentious business
- Payment Models
- Standard Model
- Pay as you go
- Hourly rates
- Capped hours or fees
- Interim bills
- Blended rates, bulk discounts, panels
- Fixed fees
- Percentages
- Credit
- Deferred funding
- Third party funding
- When is it available (defendants?)
- Maintenance and Champerty
- Conflicts of Interest
- QC Clauses
- Code of conduct for Third Party Funders
- Combinations of funding models (CFA, ATE etc ...)
- Applying for funding
- Contingent fees
- Conditional Fee Agreements
- CFA Overview
- CFA Regulations
- Types of CFA
- Post April 2013 position
- Calculation of uplift
- Damages Based Agreements
- DBA Regulations
- Legal aid / public funding
- Legal Aid and Human Rights
- The current legal aid regime
- The Legal Aid Agency
- Guidance
- Eligible claims
- Funding Code
- Public funding certificates
- Legal Expenses Insurance
- What funding option is best?
- Worked examples
- Comparisons
- Enforcement
- Is the client credit worthy?
- Assets
- Liens
- Conclusion
Financial Stabily
