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The Law of Legal Services

It will help practitioners mitigate the increasing risks they face providing practical clarity as well as authoritative legal analysis.
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£212.99
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In Stock
Published:
ISBN/ISSN: 9781846619359

Product description

Why you should buy The Law of Legal Services

Written by a leading expert in the field with extensive first-hand experience of all of the legal issues that affect practice, and with specialist contributors, the result is an authoritative, wide-ranging and accessible work that provides real insights into the legal issues and current complexities of legal practice.

The Law of Legal Services covers:

  • Regulation 
  • Lawyers' legal duties 
  • The business of law

It looks at important issues such as:

  • Business structures and barrister entity regulation 
  • Misconduct and tribunals 
  • Obligations to clients including contractual terms, fiduciary duties, negligence and the Ombudsman 
  • Compliance including COLPs, COFAs and anti-money laundering 
  • Indemnity insurance 
  • Fees and costs 
  • Protecting goodwill including restrictive covenants and electronic media 
  • Financial stability issues

The Law of Legal Services will be a key reference work for all legal practices and will provide a ready answer to many legal issues that crop up in modern practice. It will also provide, for anyone involved in the management of legal practices, essential knowledge of the legal risks they face.

Contributors

Tom Bradford Barrister, Russell Cooke LLP; Michael Stacey Solicitor - Russell Cooke LLP [formerly of the MOJ and LSB]; Michael Colledge Solicitor - Russell Cooke LLP; Andrew Donovan IPS Board member [formerly of the SRA]

Featured authors

Table of contents

Part A – Regulation

The Regulatory Framework
  • Introduction
  • Legal Services Act 2007
    • Protecting the consumer
    • The Legal Services Board
    • Activity based regulation
    • The reserved legal activities
    • Exempt provision of reserved legal activities
    • Approved Regulators and Licensing Authorities
    • Entity regulation
    • Transitional arrangements for non-commercial bodies
    • Alternative Business Structures
  • Other activity based statutory schemes
    • Claims management services
    • Immigration services
    • Financial Services
    • Consumer credit
    • Anti-money laundering requirements
    • Restrictions on separate businesses
  • Profession based regulation
    • Solicitors
    • Barristers
    • Licensed Conveyancers
    • Patent Attorneys & Trade Mark Attorneys
    • Notaries
  • Complaints handling and the Legal Ombudsman
    • Jurisdiction
    • Powers
    • Challenges to Ombudsman decisions
  • Self-regulatory schemes
Authorisation
  • Solicitors Regulation Authority
    • Qualification requirements
    • Practise rights
    • Practising certificates
    • Permitted modes of practice
    • In-house practice
    • The authorisation of entities
    • Legal Services Bodies (Legal Disciplinary Practices)
    • Multi-Disciplinary Practices
    • Entity authorisation process
    • Compliance officers
    • Approval of owners and managers
    • Approval of corporate owners
    • Criteria for the authorisation of entities
    • Ongoing compliance
    • Supervision and Training requirements
    • Waivers
  • Bar Standards Board
    • Qualification requirements
    • Pupillage
    • Practise Rights
    • Entity regulation
  • Council for Licensed Conveyancers
    • Qualification requirements
    • Practise rights
    • Entity regulation
  • ILEX Professional Standards
    • Qualification requirements
    • Practise rights
    • Entity regulation
  • Intellectual Property Regulation Board
    • Qualification requirements
    • Practise rights
    • Entity regulation
  • Faculty Office
    • Qualification requirements
    • Practise rights
  • Costs Lawyers Standards Board
    • Qualification requirements
    • Practise rights
  • Institute of Chartered Accountants of England & Wales
Codes and Compliance (including Money Laundering)
  • Introduction
    • Dealing with clients
    • Client care: solicitors
    • Client care: barristers
    • Provision of Services Regulations 2009
    • The Consumer Contracts Regulations 2013
    • Discrimination and reasonable adjustments
  • Conflicts of interests
    • Solicitors: client conflicts
    • Solicitors: own interest conflicts
    • Solicitors: confidentiality conflicts
    • Barristers
  • Confidentiality and disclosure
    • Solicitors
    • Barristers
    • Overlap with data protection law
  • Duty to the court
    • Solicitors: misleading the court
    • Solicitors: abusive litigation
    • Solicitors: litigation and the court
    • Barristers: the duty to the court
    • Barristers: misleading the court
    • Barristers: witness evidence
    • Barristers: abuse of the role of advocate
  • Undertakings
  • Practice management
    • Solicitors: governance and systems
    • Solicitors: staff and supervision of work
    • Solicitors: referral arrangements
    • Solicitors: client money
    • Solicitors: professional indemnity insurance
    • Solicitors: separate businesses
    • Barristers: governance and systems
    • Barristers: referrals
    • Barristers: public access
    • Practise rights
  • Publicity
    • Solicitors
    • Barristers
  • Financial services
    • Regulated activities
    • Financial promotions
  • Application of the rules
    • In-house lawyers
    • Overseas lawyers
    • Overseas practice
    • Chartered Legal Executives
    • Licensed Conveyancers
    • Other authorised persons
  • Anti-money laundering and the Bribery Act
    • Anti-money laundering legislation
    • Proceeds of Crime Act and the Terrorism Act
    • Bribery Act
Misconduct
  • Introduction
  • Rules and Codes
    • The nature of Codes
    • Strict liability for Rule breaches
  • The Meaning of Misconduct
    • The nature of misconduct
    • Rule breaches and misconduct
    • Negligence and misconduct
    • Professional judgement and misconduct
    • Misconduct and “improper conduct”
    • Misconduct based upon principles
    • Objectives in penalising misconduct
  • The Seriousness of Misconduct
    • Assessing seriousness
    • Dishonesty
    • Criminal offences not limited to dishonesty
    • Premeditation
    • Conspiracy
    • Repetition and duration
    • Positions of trust
    • Motivation
    • Harm
    • Concealment
    • Public confidence
    • Seniority
    • Individuals affected
    • Individual control
    • Discrimination
    • Sentencing
    • Factors other than seriousness
    • Importance of the view of expert tribunal
  • Areas of Misconduct
    • Unauthorised practice
    • Misrepresentation of structures
    • Loss of independence
    • Responsible administration
    • Client account
    • Collateral benefits
    • Overcharging
    • Group compensation claims and intermediaries
    • Conflicts
    • Transactions with clients
    • Confidentiality
    • Insurance
    • Solvency
    • Frauds by clients
    • Duty to the court
    • Dealings with prisoners
    • Dishonesty and integrity
    • Undertakings
    • Communications – offensive letters
    • Dealings with the Regulator
    • Conduct outside of practice
    • Unfitness to practice
  • Responsibility for Others
    • Responsibility of partners
    • Responsibility of COLP/COFA
    • Supervision
Supervision, Investigation and Enforcement
  • Introduction
  • SRA Supervision and Investigation
    • Supervision
    • Investigation
    • Individuals and firms
    • Investigative powers
    • The rule-based powers
    • The statutory powers
    • Disclosure of investigative information to third parties
    • Explanation by the regulated person
    • The report stage
    • Representations following the report
    • The SRA’s duty of care
  • SRA Enforcement
    • Enforcement decisions
    • The disciplinary powers of the SRA
    • SRA Disciplinary Procedure Rules 2011 – Enforcement
    • The statutory framework of practising certificate regulation
    • SRA Practising Regulations 2011
    • Examples of practising certificate conditions
    • Appeals in relation to practising certificates
    • Appeals to the High Court
  • Interventions
    • The nature of intervention
    • The grounds for intervention
    • The grounds for limited intervention
    • The powers exercisable o intervention
    • The statutory trust
    • The practice documents
    • Ancillary court orders
    • The costs of intervention
    • Intervention challenges
    • Time limit
    • The nature of the proceedings
    • The methodology of the court’s decision
    • The balancing exercise
    • Intervention and Human Rights
    • Delayed decisions to intervene
    • Unpaid bills and work in progress
    • Interim injunctions
  • SRA Referral to the Solicitors Disciplinary Tribunal
    • Decision to refer
  • The Bar Standards Board
    • Establishment
    • Supervision
    • Enforcement
    • Entity regulation
  • Licensed Conveyancers
    • Powers
    • The framework of CLC decisions
  • The Intellectual Property Board
  • The Costs Lawyers Standards Board
Tribunals
  • Introduction
  • The Solicitors Disciplinary Tribunal
    • Constitution
    • Absolute privilege
    • Jurisdiction and powers of Tribunal
    • Orders of the Tribunal
    • Appeals from the Tribunal
    • The approach of the court
    • Appeals to the Tribunal instead of the High Court
    • Applications to the Tribunal
    • Certification of a case to answer
    • Further allegations
    • Applications against solicitors’ employees
    • Restoration and ending suspensions
    • Service, directions and listing
    • Case management
    • Evidence
    • Disclosure of documents
    • Evidence from the police
    • Previous findings of record
    • Hearings and findings
    • Publicity
    • Standard of proof
    • Sanctions and penalties
    • Fines and costs
    • Rehearing where the respondent is not present
    • Adjournments
    • Abuse of process
    • Bias
    • Regulatory settlements
    • Appeals to the Tribunal
    • Restoration to the Roll
  • The Jurisdiction of the High Court over Solicitors
  • The Bar Disciplinary Tribunal
    • Constitution
    • Referral of disciplinary charges
    • Procedure to trial
    • Conduct of hearing
    • Sanctions
    • Appeal
    • Costs
    • Publication
  • The Council for Licensed Conveyancers
  • Notaries
  • The Intellectual Property Regulation Board
  • Chartered Institute of Legal Executives
  • Costs Lawyer Standards Board

Part B – Lawyers' Legal Duties

The Client Contract
  • The Solicitors’ Retainer
    • Formalities
    • Contract by conduct
    • Description of services
    • General retainers
    • Inexperienced clients
    • Identifying the client
    • Termination of the client contract
    • Termination by the solicitor
    • Failure to make payments on account
    • Termination by operation of law
  • Particular Types of Client
    • Multiple individuals
    • Agents and other forms of representative
    • Clubs and other unincorporated bodies
    • Companies
    • Children
    • Clients subject to mental incapacity
    • Trustees and executors
    • Trade Unions
    • Insurers
    • Trustee in bankruptcy
    • Liquidators
    • Administrators
    • Partnerships
    • Statutory corporations
  • Solicitors’ Standard Terms
    • Client care information
    • Matters commonly dealt with in standard terms
    • Formalities
    • Charges and payments
    • Control of information
    • Client obligations
    • Risk sharing
    • Complaints and disputes
    • General clauses
  • Barristers’ Standard Terms – The Combar Terms
    • Introduction
    • Formalities
    • Charges and payments
    • Control of information
    • Client/solicitor obligations
    • Risk sharing
    • Termination
    • Authority
  • Barristers and Direct Access
Fiduciary and Other Duties
  • Fiduciary Duties
    • Nature of the duties
    • Other lawyers as fiduciaries
    • Undivided loyalty
    • Fiduciary duties and the client retainer
    • Undue influence and transactions with clients
    • Gifts to a lawyer
    • Use of information and disclosure duties
    • Profits and benefits
    • Fiduciary responsibilities for client funds
    • Conflicts of interest
    • Actual conflict
    • The component parts of conflict
    • Business partner conflicts
    • Joint venturers and company promoter conflicts
    • Lender/borrower conflicts
    • Insurers and insured conflicts
  • Confidentiality
    • The duty of confidence
    • The risk of disclosure
    • Confidentiality and changing employment
    • Confidentiality and merger
    • Confidentiality and inadvertent disclosure
  • Legal Professional Privilege
    • The nature of privilege
    • Loss of LPP
    • Privilege and public authorities
    • Crime/fraud exception
    • SRA investigations and privilege
    • Self-incrimination
    • Required nature of adviser
  • The Enforcement of Undertakings
    • The basis of enforcement
    • Limits on enforceability
    • Disputed undertakings
    • Undertakings and lenders
    • Undertakings outside practice
  • Authority
    • Actual authority
    • Ostensible authority
    • Usual authority
    • Partners, members and directors
    • Lawyer’s warranty of authority
    • Liability for wrongdoing
    • Liability for client account shortage
    • Dishonest employee
    • The position of salaried partners
Lawyers’ Negligence – the Legal Framework
  • Scope of the retainer: ‘What was the solicitor instructed to do?’
    • Limits to scope of work
    • Implied duties in the retainer
    • Involvement of other advisers
    • Relevance of experience and knowledge of the client
    • Division of responsibility between the lawyer and the client
    • Duties to third parties arising from the retainer
  • Standard of care: ‘Were the instructions carried out with due care and skill?’
    • Errors of judgment
    • Hindsight
    • Reliance on advice by Counsel
    • Standard applicable to barristers
  • Compensation: ‘Which losses can be compensated?’
    • What were the losses?
    • Which of those losses were foreseeable and fell within the scope of the lawyer’s duty?
    • Was the lawyer’s breach of duty the cause of the client’s loss?
    • Were there any restrictions on or exclusions of liability?
    • Was there any contributory liability on the part of the client or other advisers?
    • What was the value of any loss of chance?
  • Limitation defences
    • Date of damage
    • Date of knowledge
  • Procedure
    • Pre-action
    • Part 36
    • Proceedings
    • Case management
    • Expert evidence
Negligence Claims and Complaints to the Legal Ombudsman
  • Litigation
    • Missed limitation period
    • Flawed advice
    • Failure to take instructions
    • Failure to comply with the CPR
  • Conveyancing
    • Inadequate pre-contract checks
    • Inadequate advice on planning
    • Drafting errors
    • Legal Ombudsman complaints concerning conveyancing
  • Wills and probate
    • Errors in execution and negligent drafting
    • Failure to take instructions
    • Delay
    • Failing to check capacity
    • Errors in execution
    • Legal Ombudsman complaints concerning wills and probate
  • Other practice areas
  • Legal Ombudsman statistics

Part C - The Business of Law

Indemnity Insurance and Compensation Funds
  • Introduction
  • Solicitors’ insurance
    • History
    • The current scheme
    • Participating insurers
    • The Assigned Risks Pool
    • Extended Indemnity Periods
  • Barristers’ insurance
    • Minimum level of cover
    • Insurance and the "Cab-rank" rule
  • CILEx insurance
  • Licensed Conveyancers’ insurance
    • Limits on self-insured excess
  • Other Professions
    • Patent Attorneys, Trade Mark Attorneys, Costs Lawyers and Notaries
    • Costs Lawyers
    • Notaries
    • Alternative Business Structures and combinations of professions
  • Obtaining insurance
    • Obligations when applying for insurance
    • The role of the Broker
    • Who is the insured?
    • Insured - definitions
    • Limits of insurance - What claims are insured?
  • Exclusions
    • Normal exclusions
    • Dishonesty
    • Corporate dishonesty
    • Condoning dishonesty
    • Sham partnerships
    • Aggregation
  • Other coverage issues
    • In-house, informal advice and advice as part of a voluntary service
    • Closing a firm
    • Takeovers and mergers
    • Notification of claims
    • The insurer’s solvency
    • Practical implications of insurer insolvency
    • Insurers’ entitlement to documents
  • Compensation schemes
    • SRA Compensation Fund
    • The CLC Compensation Fund
    • IPS proposed compensation fund
    • Notaries’ Contingency Fund
Protection of Lawyers’ Goodwill
  • Introduction
  • Interests protectable by contract
    • The principles
    • The client relationship
    • Relationship with referrers
    • Relationship with employees
    • Relationship with suppliers
    • Confidential information
    • Reputation
    • Copyright and know-how
  • The limits of protection
    • The doctrine of restraint of trade
    • Reasonableness between the parties
    • The public interest
    • Contractual provisions applying after termination
    • Contractual provisions applying before termination
    • Principles of construction
  • Implied duties
    • Fidelity
    • Persons owing duties
    • Implied duties of partners, members and directors
    • Conflicting personal interests
    • Preparations for departure
    • Implied duties of employees
    • The right to skills and experience
  • Other protective measures
    • Oblique restraints
    • Gardening leave
    • International issues
    • Injunctions and damages
  • The application of the general principles
    • The limits of precedent
    • The principles applied
  • Cases relating to lawyers
    • Lawyers’ special understanding
    • The relevance of a lawyer’s duties of fidelity and integrity
    • The relevance of an employed lawyer’s specialisation
    • Injunctions and the interests of clients
    • Departmentalised firms
    • Inadvertent dissolution of partnership
    • No implied covenants in a solicitor’s contract
    • Solicitors and geographical restrictions
    • A lawyer’s fiduciary and other duties
    • The modern overview in relation to solicitors
  • Specific issues
    • The protection of confidential information
    • Databases
    • Teams
    • Barristers
    • Mergers, insolvencies and acquisitions
    • The dissolution of partnerships
    • Web rights
    • Meta tags
    • Adwords
    • Domain names
    • Case management and other software
    • Copyright and trade marks
    • Passing off
    • Defamation and harassment
Structures, Fees and Financial Stability

Business Structures
  • Introduction
  • Solicitors
    • Limited liability
    • Separation of ownership and control
    • Nature of rights and obligations
    • Employment status
    • Tax
    • Conversion Issues
  • Barristers
    • The conventional Chambers model
    • The constitution
    • Contractual capacity and the use of service companies
    • Intellectual property
    • Barrister-led entities
  • Premises
Fees & Costs
  • Introduction
  • Entitlement to costs
    • Retainer
    • Solicitors
    • Rules for other professions
    • Contentious and non-contentious business
  • Payment Models
  • Standard Model
    • Pay as you go
    • Hourly rates
    • Capped hours or fees
    • Interim bills
    • Blended rates, bulk discounts, panels
    • Fixed fees
    • Percentages
    • Credit
    • Deferred funding
  • Third party funding
    • When is it available (defendants?)
    • Maintenance and Champerty
    • Conflicts of Interest
    • QC Clauses
    • Code of conduct for Third Party Funders
    • Combinations of funding models (CFA, ATE etc ...)
    • Applying for funding
  • Contingent fees
    • Conditional Fee Agreements
    • CFA Overview
    • CFA Regulations
    • Types of CFA
    • Post April 2013 position
    • Calculation of uplift
    • Damages Based Agreements
    • DBA Regulations
  • Legal aid / public funding
    • Legal Aid and Human Rights
    • The current legal aid regime
    • The Legal Aid Agency
    • Guidance
    • Eligible claims
    • Funding Code
    • Public funding certificates
  • Legal Expenses Insurance
    • BTE
    • ATE
  • What funding option is best?
    • Worked examples
    • Comparisons
  • Enforcement
    • Is the client credit worthy?
    • Assets
    • Liens
  • Conclusion
Financial Stability