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The Law and Regulation of Solicitors

Serious Breaches and Practising Certificate Conditions

By: Katie Jackson
Media of The Law and Regulation of Solicitors
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Published: 10-02-2022
Format: Paperback
Edition: 1st
Extent: 552
ISBN: 9781526520685
Imprint: Bloomsbury Professional
Dimensions: 248 x 156 mm
RRP : £105.00

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About The Law and Regulation of Solicitors

This new title engages law staff and those in prominent associated roles in confident regulatory practice, by detailing the legislative framework sitting behind the Solicitor 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.

Table Of Contents

Part 1: Professional practice
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
Criminal charges
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

Part 4. Serious breach
Technical content (including legislative and regulatory basis):
Reporting requirements (individual, firm, overseas)
Reporting requirements for reporting accountants
Other reporting and regulatory requirements
Seeking advice
SDT and the standard of proof
Regulatory outcomes
Firm implications
Discursive content (including ideas for implementation or discussion in a firm):
Standards of behaviour for solicitors
The reasonable man
Comparative reporting (international)
COLP, COFA and accountant debates
Dishonesty and reporting
Managing investigations
Pastoral support; thoughts and feelings
Improving compliance
Fiduciary duties
Organisational culture
Organisational learning as a form of risk management

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