This is a defined term in the Legal Services Act 2007 and means: the exercise if a right of audience; the conduct of litigation; reserved instrument activities (relating to the transfer of land); probate activities; notarial activities; the administration of oaths.
These are mainstream legal activities which the law has determined must be provided as regulated services. Legal services bodies that want to provide reserved legal activities must be authorised to do so by an approved regulator
Outsourcing—checklist—law firms This Checklist includes key compliance stages for law firms engaging in outsourcing, from the point at which your firm first considers entering into an outsourcing agreement up to and including post-agreement auditing. It reflects the requirements of the SRA Standards and Regulations and should be read in conjunction with Practice Notes: • Outsourcing and offshoring—law firms • Outsourcing—systems and controls for law firms • Outsourcing for law firms: compliance lifecycle Type of outsourcing Requirement Compulsory or recommended Comments (if any) ☐ Identify whether you outsource any reserved legal activitiesSee Practice Note: Outsourcing and offshoring—law firms—Different categories of outsourcing Compulsory You must not outsource the provision of reserved legal activity services to a provider that is not authorised by the SRA (or another regulator) to provide reserved legal services (Insert any comments you may wish to make regarding your firm’s arrangements) ☐ If yes, confirm your outsourcing supplier is authorised to conduct reserved legal activities As above (Insert any comments you may wish to make regarding your firm’s.
Supervision—checklist—law firms This Checklist is designed to help you determine whether you have the systems in place to comply with regulatory requirements that apply to law firms, including SRA requirements, in relation to supervision. It should be read in conjunction with subtopic: Supervision and file reviews. Management and control Requirement Compulsory or recommended Comments (if any) ☐ Ensure your governance arrangements are suitable to operate or control a business providing regulated legal services.See subtopics: SRA authorisation and approval and Governance structures. Compulsory SRA Authorisation of Firms Rules, r 2.2 (Insert any comments you may wish to make regarding your firm’s arrangements) ☐ Ensure you have at least one manager or employee, or procure the services of an individual, who:—is a lawyer of England and Wales and has practised as such for a minimum of three years, and—supervises the work undertaken by your firm Compulsory SRA Authorisation of Firms Rules, r 9.4 (Insert any comments you may wish to make regarding your firm’s arrangements) Service and competence Requirement Compulsory or.
Supervision means the management of people and their work, and includes supervising fee earners and non-fee earning staff.Proper supervision is a statutory and regulatory obligation.Firms and individuals regulated by the SRA must comply with the SRA’s rules on supervision. These rules are peppered throughout the SRA Handbook. SRA HandbookSpecific supervision requirements are scattered across the SRA Handbook. They relate to:•governance structure and reporting lines•persons qualified to supervise•reserved legal activities and immigration work•supervision of client matters•training•conflicts of interest and disclosure•trainees•outsourcing•data protectionGovernance structure and reporting linesYou must have a clear and effective governance structure and reporting lines.Person qualified to superviseEvery firm must have at least one person who is qualified to supervise.They must:•be a practising lawyer •have been entitled to practise as a lawyer for at least 36 months within the last ten years, and•have completed training specified by the SRA for this purposeAny period as a lawyer in another jurisdiction can be taken into account in satisfying the 36 months requirement.The specified training is attendance or participation in any courses or.
This Practice Note covers regulatory requirements that are specific to the legal sector in relation to outsourcing. It reflects requirements in the SRA Handbook 2011.For guidance on requirements under data protection legislation, see Practice Notes:•Outsourcing and data protection•Outsourcing and offshoring—law firmsFor guidance on general risk management best practice, see Practice Notes:•Due diligence•Limitation of liability clauses•Step-in rights and other remedies•Outsourcing and TUPE: law firm outsourcingWhenever you engage in outsourcing activities, you will have to navigate a complex compliance obstacle course. We have attempted to simplify this in Outsourcing compliance lifecycle diagram.SRA HandbookThe SRA does not prescribe in detail:•what outsourcing is•what you can and cannot outsource•how to outsource•what systems and controls you should have in placeHowever, outsourcing is one of the few areas where the SRA has provided some additional guidance. This guidance does not form part of the SRA Handbook. It is therefore not compulsory, but it should certainly be considered good practice and is reflected in this note.Law Society guidanceThe Law Society has produced a guidance note on outsourcing, which.
Discover our 36 Practice Notes on Reserved legal activities