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The Law and Regulation of Solicitors: Serious Breaches and Practising Certificate Conditions

The Law and Regulation of Solicitors: Serious Breaches and Practising Certificate Conditions

Author: Katie Jackson
Publisher: Bloomsbury Professional (formerly Tottel Publishing)
ISBN: 9781526520685
Published In: March 2022
Format: Paperback
Jurisdiction: U.K. ? Disclaimer:
Countri(es) stated herein are used as reference only

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Description
Contents

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This new title engages law staff and those in prominent associated roles in confident regulatory practice, by detailing the legislative framework sitting behind the Solicitors Regulation Authority's (SRA) regulations. The legal discussion is accompanied in each section by a separate practical discussion of:

the management issues arising from the legislation
possible solutions for implementation within firms
regulatory debates
analysis of the possible gaps

The book focuses on practice as an annual event, covering the need to renew, and the idea behind returning to the regulator for authorisation each year. With an in-depth look at practising certificate conditions and the overall management of legal risk; the focus of the calendar year will also draw out other reporting events. With specific content for solicitors, reporting accountants, law firm managers, freelancers, non-regulated firms employing solicitors, registered European lawyers, registered Foreign lawyers, and those subject to other competing forms of regulation, the book reflects and describes legal risk for all forms of modern legal practice. As part of the management discussion for firms it also covers strategic decision making for firms and the different regulatory and risk management outcomes of setting up a practice in different ways.

Part 1: Professional practiceM

Professional practice as a concept

Historical development for solicitors

Annual practising year

Embodiment in practising certificate

Technical content (including discussion of legislative and regulatory basis):

Introduction to current legal services regulation and duties to the regulator (SRA)

Current regulatory position

Historical legislative and regulatory development (dating back to 1900s)

Discursive content (including ideas for implementation or discussion in a firm):

Individual expression as a form of practice

Ethics and reporting

The concept of the reasonable man

Conducting your own investigation

Checks and balances in legal regulation

Comparative standards of regulation (including overseas)

Comparative professional practice for others (accountants, management consultants, medical professionals)

Part 2. Practising arrangements

Technical content (including legislative and regulatory basis):

The practising year, practice events, and individual practice

Practising certificates (First issue, renewal, suspension, revocation, holding over)

Firm recognition

Reserved work

Non reserved work

Available practising arrangements (traditional practice, RELs, RFLs, freelancers, ABS, employing solicitors)

Discursive content (including ideas for implementation or discussion in a firm):

The practising year, and timelines for management of individual issues

Options outside regulation, or with alternative regulators

National and international implications

Differences in regulatory outcomes and prosecution standards for the various forms of practice

Ideas for firm strategic management and individual career development based on various forms of practice

Organisational structure

What does the practising year mean to you?

Non reporting relationships with regulators

Accountant reporting and the practising year

Managing renewal

Closing down

Part 3. Practising Certificate conditions

Technical content (including legislative and regulatory basis):

Imposition of conditions

Suspension

Criminal charges

Dishonesty

Risk management

Public interest test

Common conditions

Discursive content (including ideas for implementation or discussion in a firm):

Achieving a balance in risk management

The test for dishonesty and the reporting standard

Managing others with conditions: COLP, COFA or HR?

Do conditions work?

Representations for conditions and risk management

SDT outcomes and SRA outcomes

Regulators and regulatory decision making

Restriction or more practice?

Addressing personal development needs

Confidentiality, public confidence, and publication in an age of digital information

Improving compliance through management

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