Legal Services

What this module covers

Every section of Legal Services, in the order the course teaches them. This is the whole syllabus for the module, not a selection. Open a section to read the topics inside it.

1. The Seven SRA Principles3 topics

   • The seven Principles
   • Where two Principles conflict
   • Personal responsibility for compliance
2. Structure of the SRA Standards and Regulations1 topic

   • The two Codes of Conduct
3. Acting in the Client's Best Interests and Competence2 topics

   • Instructions, service and best interests
   • Maintaining competence and keeping up to date
4. Own-Interest Conflicts (Code para 6.1)2 topics

   • What an own-interest conflict is
   • A gift of significant value in a will
5. Client Conflicts and the Two Exceptions (Code para 6.2)3 topics

   • What a client conflict is
   • Conflicts imputed to the firm, and timing
   • Professional embarrassment
6. Confidentiality (Code para 6.3)4 topics

   • The duty to current and former clients
   • Confidentiality and legal professional privilege
   • Disclosure to prevent harm
   • Where disclosure is required or permitted by law
7. The Duty of Disclosure and Its Limits (Code para 6.4)2 topics

   • Making the client aware of material information
   • Information barriers
8. Duty to the Court and Not Misleading3 topics

   • Not misleading clients, the court or others
   • Conduct in disputes and proceedings
   • A guilty plea despite a private denial
9. Undertakings (Code para 1.3)3 topics

   • The duty to perform an undertaking
   • Binding even when not in funds
   • Drafting and enforcement
10. Not Taking Unfair Advantage; Fair Treatment1 topic

    • Abuse of position and unfair advantage
11. Client Money and Assets: The Individual Code Duties2 topics

    • Safeguarding money and assets
    • Not personally holding client money
12. Client Care and Costs Information (Code paras 8.6-8.7)3 topics

    • The best possible information on price
    • Information the client can understand
    • Identifying who you act for
13. Complaints Handling and the Legal Ombudsman3 topics

    • The complaints procedure
    • The Legal Ombudsman: time limits and awards
    • The SRA Compensation Fund
14. Referrals, Fee Sharing, Financial Benefits and Publicity3 topics

    • Referral fees
    • The annual return
    • Publicity and unsolicited approaches
15. Co-operation, Reporting and Accountability3 topics

    • Co-operation and reporting duties
    • What makes a breach serious
    • Being honest and open when things go wrong
16. SRA Code of Conduct for Firms; COLP and COFA4 topics

    • Responsibility of the firm and its managers
    • The two compliance officers
    • How the Accounts Rules fit in
    • Firm notifications and annual reporting
17. Regulatory Framework: Legal Services Act 20078 topics

    • The nine regulatory objectives
    • The six reserved legal activities
    • The Legal Services Board and approved regulators
    • The Legal Ombudsman and the SRA compared
    • Freelance solicitors and reserved activities
    • Financial Conduct Authority machinery in context
    • The SRA’s fining powers and their limits
    • Intervention, practising conditions and the Tribunal
18. Financial Services: FSMA 2000 and Exempt Professional Firm Regime12 topics

    • The general prohibition
    • What makes an activity regulated
    • The specified activities
    • Specified investments and their carve-outs
    • The exclusions
    • The exempt professional firm route
    • The regulators and the twin peaks model
    • Insurance distribution mechanics
    • Takeover and authorised person exclusions
    • Scope rules and prohibited activities
    • Status disclosure and execution-only business
    • The two limbs of the incidental test
19. Anti-Money Laundering: POCA 2002 and the MLR 201713 topics

    • The three principal offences
    • Suspicious activity reports, the nominated officer and tipping off
    • Customer due diligence
    • Prejudicing an investigation
    • Deemed consent and the moratorium period
    • The regulated sector and the stages of laundering
    • Who is an independent legal professional
    • Further features of the principal offences
    • The threshold amount exemptions
    • Privileged circumstances
    • Nominated officer mechanics
    • Triggers, timing and record retention
    • Where due diligence cannot be completed
20. Equality and Non-Discrimination (Equality Act 2010)1 topic

    • Discrimination, harassment and victimisation
21. Funding of Legal Services5 topics

    • Private funding, conditional fees and damages-based agreements
    • Where a conditional fee agreement cannot be used
    • Third-party funding and legal aid
    • Criminal legal aid: means and interests of justice
    • Money on account and fixed fees
22. Separate Businesses2 topics

    • Owning or working in a separate business
    • Not holding a separate business out as regulated
23. The Retainer, VAT-Inclusive Costs Default and Freedom to Decline Instructions3 topics

    • What the retainer is
    • A quoted fee is treated as tax inclusive
    • Freedom to decline instructions
24. SQE1 Application Notes for Ethics (Pervasive Testing)1 topic

    • Ethics is examined across every subject