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

ISBN13: 9781526520685
Published: March 2022
Publisher: Bloomsbury Professional
Country of Publication: UK
Format: Paperback
Price: £105.00

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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.

Professional Conduct and Ethics
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
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