Unit 1: Providers of Legal Services, SRA Regulation, and the Equality Act 2010

Flashcards covering Chapter 1 (Providers of Legal Services), Chapter 2 (The Regulatory Role of the SRA), and Chapter 3 (Equality Act 2010).

Under section 12 of the Legal Services Act 2007 (LSA 2007), what are the six reserved legal activities?

The six reserved legal activities are:

1. Right of audience

2. Conduct of litigation

3. Reserved instrument activities

4. Probate activities

5. Notarial activities

6. Administration of oaths

Which specific legal instruments are explicitly excluded from reserved instrument activities under the Legal Services Act 2007?

Wills and powers of attorney (POAs).

What was the legal ruling in Media Protection Services Ltd v Crawford [2012] regarding the conduct of litigation?

A company director who was not a solicitor laid information before magistrates leading to a private prosecution. This was held to constitute "commencing proceedings" and amounted to the unauthorised conduct of litigation, rendering the prosecution unlawful.

Why was the online divorce facilitator's assistance in JK v MK and E-Negotiation Ltd [2020] held not to be the conduct of litigation?

Although the facilitator helped draft the documents, the parties themselves lodged the documents at court, meaning the facilitator did not conduct litigation.

What principle regarding delegation to unauthorised staff was established in Mazur v Charles Russell Speechlys LLP [2026] EWCA Civ 369?

An unauthorised person can lawfully carry out litigation tasks on behalf of an authorised individual provided proper supervision and delegation arrangements exist; the authorised individual retains responsibility and is treated as "carrying on" the litigation.

Under section 14 of the Legal Services Act 2007, what is the criminal penalty for carrying out a reserved legal activity while unauthorised or not exempt?

Up to $2\text{ years'}$ imprisonment (and carrying out rights of audience or conduct of litigation while unauthorised also constitutes contempt of court).

What is the primary role of the Legal Services Board (LSB) created by the Legal Services Act 2007?

It oversees and coordinates the regulation of all lawyers, approving regulators (with $8$ operating day-to-day) and ensuring adherence to the statutory regulatory objectives set out in section 1 of the LSA 2007.

Which approved regulator is the only body entitled to authorise notarial activities, and which reserved activities can it not authorise?

The Master of the Faculties is the only regulator that can authorise notarial activities, but it cannot authorise rights of audience or the conduct of litigation.

Which approved regulators govern claims management companies, immigration advisers, and insolvency practitioners outside the Legal Services Act 2007?

Claims management companies are regulated by the Financial Conduct Authority (FCA), immigration advisers by the Immigration Advice Authority, and insolvency practitioners by the Insolvency Practitioners Association.

How is the Solicitors Regulation Authority (SRA) board composed and funded?

It is governed by a board of $10$ members ($4$ solicitors and $6$ lay members) and funded by the practising certificate fee.

What are the seven mandatory SRA Principles?

Those regulated must act:

1. Upholding the rule of law and proper administration of justice
2. Upholding public trust and confidence in the profession
3. With independence
4. With honesty
5. With integrity
6. Encouraging equality, diversity and inclusion
7. In the best interests of each client

How does the SRA formulaically define risk within its risk-based regulation framework?

$$\text{Risk} = \text{impact (potential harm)} \times \text{probability (likelihood)}$$

What defines a licensable body or Alternative Business Structure (ABS) under the Legal Services Act 2007?

A firm where ownership, control, or management is not wholly in the hands of legally qualified persons. It requires $\ge 1$ manager authorised by the SRA or another approved regulator, and a non-authorised person must be a manager/interest holder or control $\ge 10\%$ of voting rights.

What mandatory compliance officers must be appointed in an SRA-authorised recognised body compared to a licensed body (ABS)?

A recognised body must appoint a Compliance Officer for Legal Practice (COLP) and a Compliance Officer for Finance and Administration (COFA). In a licensed body, these roles are termed Head of Legal Practice (HOLP) and Head of Finance and Administration (HOFA).

Under section 1 of the Solicitors Act 1974, what three requirements must be satisfied for an individual to practice as a solicitor?

The individual must be: (a) Admitted (b) On the roll (c) Holder of a valid practising certificate (PC)

By what date must a solicitor renew their practising certificate (PC) each year?

Annually by 31 October.

Under what specific conditions can a freelance solicitor deliver reserved legal activities to the public without recognised sole practice authorisation?

They must have $3+$ years since admission, be self-employed practising in their own name, hold full indemnity insurance, have no employees for those services, hold only limited categories of client money, and notify the SRA (unless doing pro bono work only).

What is the minimum sum insured per claim under the SRA Indemnity Insurance Rules for recognised/licensed bodies versus other firms?

$£3\text{ million}$ for recognised or licensed bodies, and $£2\text{ million}$ for all other cases (excluding defence costs).

If an SRA-authorised firm cannot renew its Professional Indemnity Insurance (PII), what are the mandatory steps and time limits under the extended indemnity period?

Cover automatically extends for up to $90\text{ days}$. The firm must notify the SRA upon entering this period. If no cover is found after $30\text{ days}$, it must notify the SRA and stop accepting new instructions. If no cover is secured after $90\text{ days}$, it must cease practising entirely.

What are the nine protected characteristics listed under section 4 of the Equality Act 2010?

1. Race
2. Religion and belief
3. Sex
4. Sexual orientation
5. Age
6. Disability
7. Gender reassignment
8. Marriage and civil partnership
9. Pregnancy and maternity

What definition of 'sex' was affirmed by the Supreme Court in For Women Scotland Ltd v Scottish Ministers [2025] UKSC 16?

The Supreme Court held that sex, 'man', and 'woman' are biological concepts, and that sex is binary.

How did Lockwood v Cheshire and Wirral NHS Trust [2025] clarify the scope of protection for gender reassignment under section 7 of the Equality Act 2010?

Following the binary-sex ruling, gender reassignment only protects male-to-female or female-to-male transition; moving to a non-binary identity is not protected under this characteristic.

Which protected characteristic permits a general justification defence against direct discrimination under section 13 of the Equality Act 2010?

Age (under section 13(2), if the treatment is a proportionate means of achieving a legitimate aim).

What four elements establish indirect discrimination under section 19 of the Equality Act 2010?

A person (A) applies a provision, criterion or practice (PCP) that: (a) Applies equally to everyone (b) Puts people sharing a protected characteristic at a particular disadvantage (c) Disadvantages the claimant specifically (d) Cannot be justified as a proportionate means of achieving a legitimate aim

How does discrimination arising from disability under section 15 of the Equality Act 2010 differ from direct discrimination under section 13?

Section 15 does not require a comparator. It occurs when a disabled person is treated unfavourably because of something arising in consequence of their disability, provided the discriminator knew (or ought reasonably to have known) of the disability. Unlike direct discrimination, it can be objectively justified.

What constitutes victimisation under section 27 of the Equality Act 2010?

Subjecting an individual to a detriment because they carried out (or are believed to have carried out or may carry out) a protected act, such as bringing proceedings, giving evidence, alleging a breach, or doing anything related to the Equality Act 2010.

What are the three limbs that trigger the duty to make reasonable adjustments under sections 20–21 of the Equality Act 2010?

Reasonable steps are required where:

1. A provision, criterion or practice (PCP) puts a disabled person at a substantial disadvantage;
2. A physical feature puts a disabled person at a substantial disadvantage; or
3. A disabled person would be at a substantial disadvantage without an auxiliary aid.

How does the duty to make adjustments differ between solicitors acting as service providers versus employers?

For service providers, the duty is anticipatory and owed to disabled people generally (e.g., maintaining wheelchair-accessible premises before a client needs it). For employers, the duty is not anticipatory and only arises once the employer knows or ought reasonably to know of the specific person's disability and likely disadvantage.

What failure occurred in The Government Legal Service v Brookes regarding employment adjustments?

A job candidate with Asperger's was refused an alternative (non-multiple-choice) test format, which was held to constitute a failure to make reasonable adjustments, indirect discrimination, and discrimination arising from disability.

What positive duty is placed on employers by section 40A of the Equality Act 2010?

Employers have a positive, anticipatory, and ongoing duty to take reasonable steps to prevent sexual harassment of their employees.

Under section 159 of the Equality Act 2010, when is positive action permissible in recruitment and promotion?

An employer may favour a candidate from an under-represented or disadvantaged group only as a 'tie-breaker' when that candidate is 'as qualified as' competing candidates in terms of overall suitability. Automatically favouring a candidate without equal merit constitutes unlawful positive discrimination.

How does the SRA Code of Conduct's approach to discrimination differ from the Equality Act 2010?

The SRA Codes define discrimination more broadly than the Equality Act 2010; conduct can breach SRA standards even if not linked to a statutory protected characteristic or meeting the narrow section 6 disability threshold. Furthermore, SRA Principle 6 imposes a positive duty to encourage equality, diversity, and inclusion that extends to conduct outside legal practice.