Be prepared – complaints handling changes on 6 October
On 6 October 2010, you need to make changes to the information you give clients—both new and existing ones—about the handling of complaints. You need to make these changes in order to meet new requirements from the Legal Services Board and to reflect the fact that responsibility for complaints handling passes from the Legal Complaints Service to the Legal Ombudsman on that date.
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Case study – dishonesty – hiding behind corporate structures not an option
Save in exceptional circumstances, a finding of dishonesty will lead to a solicitor being struck off the roll. Cases of dishonesty mostly involve the misappropriation of client money. In terms of penalty, should there be a distinction when the dishonesty does not involve financial loss to clients? A recent case, heard on appeal to the High Court, confirmed there should not be such a distinction.
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Warning – be on your guard when selling up or entering into new partnership
The economic downturn has led to more firms than usual being offered for sale. We are concerned that some of these firms could be purchased and, then, used to perpetrate criminal activity.
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Confidentiality rule relaxed
We have recently amended rule 4 (confidentiality and disclosure) of the Solicitors' Code of Conduct 2007 to allow sophisticated firms to use "information barriers" to act for more than one client.
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Assigned risks pool – important changes
We are following a new enforcement policy to step up control of the assigned risks pool to improve public protection, reduce costs to the profession and help to sustain a healthy, affordable market for solicitors' professional indemnity insurance.
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Is your equality and diversity policy up to date?
Question: Which of your policies may be scrutinised by your clients, your colleagues, your prospective clients, your trainees, third parties, your regulator and an employment tribunal?
Answer: Your equality and diversity policy
Recent figures show that employment tribunal claims are on the increase—up 56 per cent in the 12-month period to March 2010. Don't become a statistic.
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New Qualified Lawyers Transfer Scheme up and running
If you are an internationally qualified lawyer, or a UK-qualified lawyer, seeking admission as a solicitor in England and Wales, you will need to apply under the new Qualified Lawyers Transfer Scheme, which took effect on 1 September 2010.
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We need small and medium-sized firms for supervision pilot
We're looking for firms to take part in a pilot of relationship management—one of a range of new supervisory techniques the SRA may use from October 2011.
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Your views – open consultations
Visit www.sra.org.uk/consultations
Joint Advocacy Group (JAG) – proposals for a quality assurance scheme for criminal advocates
The Joint Advocacy Group, established by the Bar Standards Board, the Solicitors Regulation Authority and ILEX Professional Standards, invites your comments on proposals for a quality assurance scheme for criminal advocates. Submission deadline – 12 November
Legal Practice Course – accreditation of prior learning policy
We need your views on our proposals to allow exemptions form the Legal Practice Course in specific circumstances. Submission deadline – 21 October
Visit www.sra.org.uk/consultations
In brief
Training Regulations 2009 and the new style Legal Practice Course – transitional guidelines
We are reviewing the new Legal Practice Course (LPC) to ensure that the flexibility and learning opportunities that have been built in (for capitalising on the mix of study and development in the work environment, for instance) are fully used by individuals and employers.
We are also reviewing the Training Regulations 2009. In the interim, we are issuing transitional guidelines so that individuals and employers can obtain the full benefits of the new LPC while continuing to ensure high academic and professional standards. Visit www.sra.org.uk/lpc.
Freedom in practice
Keep up to date on our plans for outcomes-focused regulation. Visit www.sra.org.uk/freedominpractice.
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