The Law and Regulation of Solicitors: Serious Breaches and Practising Certificate Conditions

Professional standards consultant Katie Jackson discusses the management of risks in law firms and leads you through the confident regulatory practice of solicitors.

She provides guidance on the regulator’s requirements for dealing with serious breaches of the rules of professional conduct, the relationship of breaches to the annual renewal of the practising certificate, and the imposition of conditions on solicitors.

Through this guide you can:
Understand the legislative framework sitting behind the Solicitors Regulation Authority’s regulations
Understand the various ways to set up and operate as a solicitor firm, and how to meet the expectations of the legislation governing these areas
Identify and manage serious breaches, and understand the regulator’s expectations
Manage scenarios in which practising certificate or firm conditions may be imposed
Understand the requirements for, and expectations of, the reporting accountant, and the recent history of changes to their reporting role
Complete your annual CPD, through built in exercises to enable you to understand the judgements required when dealing with the regulator’s Codes of Conduct

Legal commentary is accompanied by a separate practical discussion of the management issues arising from the legislation, the possible solutions for implementation within firms, regulatory debates and an analysis of the possible gaps.

The book covers strategic decision making for firms and the different regulatory and risk management outcomes of setting up a practice in different ways. This is an essential title for legal practitioners, reporting accountants, approved regulators, those thinking about working with freelance solicitors or employing solicitors, and those completing the LPC, GDL, SQE, or studying law and ethics.

Katie Jackson is a teacher and examiner on the solicitor Professional Skills Course in Finance and Business Skills for Datalaw, and a course provider for the National Association of Paralegals in Probate and Professional Skills.

She is also a consultant in professional standards to law firms and assists with all aspects of compliance including in data protection, file reviews, and solving compliance problems.