Katie Jackson

The Law and Regulation of Solicitors

Serious Breaches and Practising Certificate Conditions

• Broschiertes Buch

Produktbeschreibung

Professional standards consultant Katie Jackson discusses the management of risks in law firms and leads you through the confident regulatory practice of solicitors. She provides guidance on the regulator's requirements for dealing with serious breaches of the rules of professional conduct, the relationship of breaches to the annual renewal of the practising certificate, and the imposition of conditions on solicitors. Through this guide you can: Understand the legislative framework sitting behind the Solicitors Regulation Authority's regulations Understand the various ways to set up and operate as a solicitor firm, and how to meet the expectations of the legislation governing these areas Identify and manage serious breaches, and understand the regulator's expectations Manage scenarios in which practising certificate or firm conditions may be imposed Understand the requirements for, and expectations of, the reporting accountant, and the recent history of changes to their reporting role Complete your annual CPD, through built in exercises to enable you to understand the judgements required when dealing with the regulator's Codes of Conduct Legal commentary is accompanied by a separate practical discussion of the management issues arising from the legislation, the possible solutions for implementation within firms, regulatory debates and an analysis of the possible gaps. The book covers strategic decision making for firms and the different regulatory and risk management outcomes of setting up a practice in different ways. This is an essential title for legal practitioners, reporting accountants, approved regulators, those thinking about working with freelance solicitors or employing solicitors, and those completing the LPC, GDL, SQE, or studying law and ethics.

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Produktdetails

• Verlag: Bloomsbury Academic
• Seitenzahl: 488
• Erscheinungstermin: 28. Februar 2022
• Englisch
• Abmessung: 244mm x 170mm x 25mm
• Gewicht: 762g
• ISBN-13: 9781526520685
• ISBN-10: 1526520680
• Artikelnr.: 62552507

Autorenporträt

Katie Jackson is a former regulator at the Solicitors Regulation Authority and Council for Licensed Conveyancers. She is currently an examiner on the Professional Skills Course in Finance and Business for Datalaw, and a course provider for the National Association of Paralegals in Professional Skills. She is also a consultant in professional standards to law firms.

Inhaltsangabe

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
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 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 Reasonableness Dishonesty and reporting
Managing investigations Pastoral support; thoughts and feelings Improving
compliance Whistleblowing Fiduciary duties Organisational culture
Organisational learning as a form of risk management Leadership