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23 December 2011
Law Society Publishing
9781907698293
PB
248 x 156
688 pages
The Solicitor's Handbook 2012
Overview
The Solicitor's Handbook 2012 is a comprehensive yet user-friendly guide to the regulatorymaze that governs the conduct of solicitors. With effect from 6 October 2011, there hasbeen a major change in the way in which solicitors are regulated.
This authoritative guide takes into account all of the significant changes, including:
- the move to outcomes-focused regulation with the introduction of the newSRA Handbook
- the advent of alternative business structures
- a full review of the new Code and the SRA Handbook with guidance and new provisions
- the new powers of the SRA and the Solicitors Disciplinary Tribunal
- the obligation of all firms to appoint a compliance officer for legal practice (COLP) and a compliance officer forfinance and administration (COFA).
This invaluable resource includes expert commentary that usefully highlights where the new regime introduces changesfrom the old Code of Conduct and provides practical suggestions as to how solicitors can best achieve compliance withthe principles, outcomes and indicative behaviours that underpin OFR.
The commentary has been substantially expanded for this edition with the inclusion of seven additional chapters,including new chapters on the principles and Code of Conduct, the regulation of ABSs, entity or firm-basedauthorisation and regulation, new appeal rules and more.
Contents
Part 1: Overview;
1. The regulatory and disciplinary landscape;
2. The authorisation of regulated entities;
Part 2: The Principles and the Code of Conduct;
3. The principles and overview of the Code;
4. The Code;
Part 3: Other rules;
5. SRA Accounts Rules;
6. COLPs and COFAs;
7. Financial services regulation;
8. Property selling;
9. Cross border practice;
10. Professional indemnity insurance;
11. Registered European Lawyers and Registered Foreign Lawyers;
12. Regulation by other approved regulators;
Part 4: The regulatory system in practice;
13. The Legal Ombudsman;
14. SRA investigations;
15. Practising certificate controls;
16. Intervention;
17. Control of solicitors' employees;
Part 5: The disciplinary system in practice;
18. Professional misconduct/conduct unbefitting a solicitor;
19. SRA-imposed sanctions;
20. Disciplinary proceedings before the SDT;
21. The SDT as an appellate body;
22. Disciplinary jurisdiction of the High Court;
Part 6: The regulation of ABSs;
23. Getting started;
24. Enforcement;
Part 7: Fraud and money laundering;
25. The risks of fraud;
26. Money laundering;
Appendices: 1. SRA Principles;
2. SRA Code of Conduct 2011;
3. CCBE Code of Conduct;
4. The European Communities (Services of Lawyers) Order 1978;
5. The European Communities (Lawyer's Practice) Regulations 2000;
6. SRA Warning Cards;
7. The Money Laundering Regulations 2007;
8. SRA policy statement on publication of regulatory and disciplinary decisions;
9. Legal Ombudsman Scheme Rules 2010;
10. The Solicitors (Disciplinary Proceedings) Rules 2007 with Solicitors Disciplinary Tribunal practice directions and policy/practice note;
11. The Solicitors Disciplinary Tribunal (Appeals and Amendment) Rules 2011;
12. Extracts from the Solicitors Act 1974;
13. Extracts from the Administration of Justice Act 1985;
14. Extracts from the Courts and Legal Services Act 1990;
15. Extracts from the Legal Services Act 2007;
16. Summary of reporting obligations.
About the Authors
Andrew Hopper QC was admitted as a solicitor in 1972 and was appointed Queen's Counsel in 2001 (the fifth solicitoradvocate to be appointed Silk and the first outside the City of London). He is described in Chambers UK (2007) as "theoracle of all things relating to solicitors' disciplinary proceedings". He has specialised in the field of professionalregulation and discipline since 1979.
Gregory Treverton-Jones QC, barrister-at-law, of 39 Essex Street, was called to the Bar in 1977, and was appointedQueen's Counsel in 2002. He has practised in the field of professional discipline and regulation since the early 1990s.He has been instructed in many of the leading cases arising out of the professional conduct of solicitors, appearingboth for and against the Law Society in applications for judicial review, statutory appeals, and challenges tointerventions. He is described in Legal 500 2009 as 'the leading barrister in solicitors' disciplinary work'.