Following a thematic review in 2023 and consultation, the SRA has issued guidn=ance for the 34,5000 inhouse solicitors that it regulates. The include practical examples, resources and checklists.

Here's a link to the page on their website: https://www.sra.org.uk/sra/news/press/support-in-house-solicitors/

The Guidance:

• Identifying your client when working in-house
• Reporting concerns about wrongdoing when working in-house
• Internal investigations
• Guidance for employers on a solicitor's professional obligations
• New separate document for governing boards, chief executives and senior officers in organisations employing in-house solicitors
• New guidance on legal professional privilege when working in-house

Assistance from us

We support businesses in the legal profession with compliance - with SRA regualtions, AML & Sanctions & Data Protection obligations (both in the UK & overseas): https://hunningsconsultancy.co.uk/compliance-services/

QWE Confirmation: Acting as External Solicitors to confirm the QWE of Aspiring Solicitors who do not have a solicitr in their organisation to do the confirmation. Many of these are acting as an inhouse legal resource in companies. https://hunningsconsultancy.co.uk/external-qwe-certification-service-2/

Assistance with application for exemption from the SQE2 exam. If you are qualified as a lawyer and wish to cross apply to become a solicitor of Engalnd & Wales you may be able to apply for exemption from the SQE2 exam. We have advised & assisted many such people. https://hunningsconsultancy.co.uk/sqe2-exemption-for-foreign-lawyers-review-advice/

Contact Us

Fillin the form below or email: ingemar:hunningsconsultancy.co.uk

On 30th September the SRA published new Guidance on how it expects firms to comply with the Transparency Rules. There is no change to the rules, but they have published new and updated resources. Whereas before the information was a little difficult to follow, now it is more detailed with templates. It should be easier for smaller law firms to follow.

Here is a link to -

• the Guidance: https://www.sra.org.uk/solicitors/guidance/transparency-in-price-and-service/

• a dummy example website they have created: https://examples.sra.org.uk/

• their press release: https://www.sra.org.uk/sra/news/press/updated-resources-comply-transparency-rules/

What should you do?

Review your website in the light of this. They have a dedicated team looking at websites. It is a easy thing for them to inspect. They list that they have fined over 400 firms since 2023. Remember that the Transparency Rules doesn't just involve putting Pricing Information onto the website correctly, but also your Complaints Procedure and having the SRA Clickable badge.

How can we help?

We have a package to review your website for compliance with the Transparency Rules: https://hunningsconsultancy.co.uk/sra-transparency-rules-sra-asks-for-declaration-of-compliance/

What we will do

Our Charges

£500 + VAT

If you need help contact us:

fill in the web form below

or

or email: [email protected]

The Legal Ombudsman has issued Guidance from with case studies, setting out the types of issues involved in these cases, and how they're likely approach them if they were referred to them. Although mention is made early on in the advice about success fees, the guidance is of general application to all costs complaints and is helpful. Core to this is setting out at the beginning in your retainer documentation (letter of Engagement or Client Care letter) what the client will be paying and when and coping the work. There’s no way to avoid that. Its basic contract law.

Here’s the link to the guidance (issued in the autumn of 2024): https://www.legalombudsman.org.uk/for-legal-service-providers/learning-resources/preventing-complaints/complaints-about-legal-costs/

We have received clarification from the SRA of their ambiguous word concerning legal work experience. In their helpful tool summarising what they want with regard to those qualified in certain jurisdictions which they have considered, the SRA write:

"xx months legal work experience post-qualification as a xxx advocate (substitute in the description of a qualified lawyer in your jurisdiction)"

a) Does that mean legal work experience gained after qualifying as a xx advocate (the SRA have recently stated that the work must be to the level of the qualification).

Or

b) Does it mean that the post qualification work must be done working as a xxx advocate.

The SRA has now confirmed that it is b). You have to be working in your capacity as a lawyer, as qualified in your home jurisdiction. The example we saw related to a qualified US attorney working in Vietnam. The SRA was asking for proof that he was employed as a US attorney and the work he did was in his capacity as a US attorney.

This seems to us like the SRA tightening up the criteria for exemption from the SQE2 exam. Anecdotally, we have heard that they have had many more applications for exemption from the SQE2 than they expected.

Here is a copy of the guidance:

For general advice & assistance with applications for exemption from the SQE2 exam: https://hunningsconsultancy.co.uk/sqe2-exemption-for-foreign-lawyers-review-advice/

For Videos about SQE2 exemptions & QWE:

https://www.youtube.com/@hunningsconsultancy999/videos

External Solicitor QWE Confirmation Service

If you are NOT qualified as a lawyer in any jurisdiction, you will have to have a minimum of 2 years' Qualifying Work Experience confirmed to a the SRA by an SRA regulated solicitor. If you do not have anyone in your company to do this, we can help.

https://hunningsconsultancy.co.uk/external-qwe-certification-service-2/

This applies to all SRA-regulated firms and people.

Here is a link: https://www.sra.org.uk/solicitors/guidance/financial-sanctions-regime/

Below is a summary of the changes, taken from the SRA web page:

"Summary of changes

This guidance was first published on 28 November 2022. This version provides updates based on legislative changes and our more recent proactive supervision. The major changes from our previous version are as follows:

• References to the newness of the sanctions regime have been updated throughout to reflect its more established status.
• The document has been restructured to move key information relevant to all firms to the top, followed by specific guidance for firms operating under the sanctions regime.
• Additional feedback showcasing good practices from recent sanctions inspections has been incorporated throughout.
• Controls for all firms: A new case study has been added to illustrate how firms may inadvertently become involved in the sanctions regime.
• Red flags for attempted circumvention of the sanctions regime: Updated red flags now include self-reporting responsibilities and the need to screen staff during onboarding.
• Reporting requirements: These have been clarified, and a new section has been added on when you must report to us.
• Licensing: Further clarification on staying compliant with licence responsibilities has been provided.
• Other resources: We have updated links to external information."

We Can Help with:

a) Completion of the SRA Questionnaire - fee: £100 + VAT

b) Sanctions Training

c) An AML & Sanctions Manual

d) AML Training

Contact Us

Fill in the form below

or

email: [email protected]

The SRA has now started to send this out. You will have until 23rd September 2024 to complete and submit the form.

Here is a link to a copy of the email received by one of our law firm clients: https://hunningsconsultancy.co.uk/wp-content/uploads/2024/08/SRA-Email-re-AML-Sanctions-Questionnaire-Aug-2024.pdf

Their questions are the same as those they shared in their warning email of 2nd July. here are the questions - but please check your own email form them. You complete them through your mySRA profile. https://hunningsconsultancy.co.uk/wp-content/uploads/2024/07/aml-data-collection-2024-questionnaire.pdf

Here is a link to the page of advice on the SRA website: https://www.sra.org.uk/sra/news/firm-anti-money-laundering-sanctions-data-requirements/

What is noticeable is that it is mandatory for every firm to complete the Sanctions section, whereas the AML section will only need to be completed by certain firms (read the questions & criteria).

This may come as a bit of a shock to many firms who are not up to speed with compliance with the Sanctions Regime. ALL businesses are within scope with regard to Sanctions Compliance.

We Can Help with:

a) Completion of the SRA Questionnaire - fee: £100 + VAT

b) Sanctions Training

c) An AML & Sanctions Manual

d) AML Training

Contact Us

Fill in the form below

or

email: [email protected]

We have obtained clarification from the SRA concerning the requirement for the Letter of Reference being on Headed Paper.

The SRA requires the form you submit for your application for exemption from the SQE2 exam to be accompanied by a Letter of Reference from the applicant's supervisor - who directly supervised the legal work that they wish the SRA to consider when looking at their application (see here a link to our page giving advice on this: https://hunningsconsultancy.co.uk/sqe2-exemption-for-foreign-lawyers-review-advice/) We have sought clarification from the SRA as a client told us that his supervisor's current employers refused to allow the supervisor to send this letter on their letterhead.

Please see below the advice received from the SRA:

"Dear Ingemar Hunnings

Thank you for your email of 14 July 2024.

We can consider references that are not provided on headed paper, but this may mean that a decision takes longer while we verify/validate them. In the event that we are not able to verify/validate the reference(s) then the applicant may need to seek alternative referees or potentially receive a decision to refuse the application.

If you have any further questions please let me know.

Yours sincerely
Simon Prior
Authorisation Officer
Authorisation
Solicitors Regulation Authority"

Applications for exemption from the SQE2 exam: Help

We help aspiring solicitors who are already qualified lawyers with their applications for exemption from the SQE2 exam. This involves advice & assistance, a basic template for the Letter of Reference, reviewing what you draft for your referee and your application form. (Please note that we do not assist with the completion of section 8 of the form.) Please fill in the form on this or any of the web pages on this website for more info or help. Here is a link to more info: https://hunningsconsultancy.co.uk/sqe2-exemption-for-foreign-lawyers-review-advice/

Help with Confirmation of QWE

This is only relevant where you are NOT already qualified as a lawyer anywhere. If you do NOT have an SRA regulated solicitor willing or able to confirm your QWE to the SRA, then we can help. We have already confirmed the QWE for over 100 aspiring solicitors from all over the world. Please fill in the form on this or any of the web pages on this website for more info or help. Here is a link to more info: https://hunningsconsultancy.co.uk/external-qwe-certification-service-2/

The SRA asked to review our process for confirming QWE as an External Solicitor for an Aspiring Solicitor we'd helped: https://hunningsconsultancy.co.uk/external-qwe-certification-service-2/ We've always been very careful to ensure our process follows what the SRA requires and that each step is carefully documented (Ingemar is a litigator and so naturally prepares his work as if he is expecting the judge to view it!). We received the news last week that the SRA had told our client that they found the process acceptable and so they admitted him as a solicitor of England & Wales. 🙂

We have long held the view that the SRA should audit those who confirm QWE to ensure there is no abuse. We are pleased that we have now gone through a review by the SRA and they have found that our approach meets their requirements.

We have so far helped over 100 Aspiring Solicitors from around the world by acting as their external confirming solicitor, where they did not have an SRA regulated solicitor to confirm their QWE. We are a port of last resort to help them move forward and qualify. If they already have an SRA regulated solicitor who can confirm their QWE we advise them to use that person.

External QWE Confirmation

Link to the service: https://hunningsconsultancy.co.uk/external-qwe-certification-service-2/

We have so far confirmed the QWE of over 100 aspiring solicitors from all over the world.

It seems that the SRA sent out emails en mass on 2nd July 2024 informing many, if not all, law firms that it regulates that they will be sending out to them a Financial Crime Questionnaire in early August that they will want completed by mid-September.

Here is a link to the Sample of the Questionnaire they have shared: https://www.hunningsconsultancy.co.uk/wp-content/uploads/2024/07/aml-data-collection-2024-questionnaire.pdf

Here is a copy of the message received by one of our client firms. Here is a link to the page of advice on the SRA website: https://www.sra.org.uk/sra/news/firm-anti-money-laundering-sanctions-data-requirements/

What is noticeable is that it is mandatory for every firm to complete the Sanctions section, whereas the AML section will only need to be completed by certain firms (read the questions & criteria).

This may come as a bit of a shock to many firms who are not up to speed with compliance with the Sanctions Regime. ALL businesses are within scope with regard to Sanctions Compliance.

We Can Help with:

a) Completion of the SRA Questionnaire - fee: £100 + VAT

b) Sanctions Training

c) An AML & Sanctions Manual

d) AML Training

Contact Us

Fill in the form below

or

email: [email protected]

We are delighted to add this service to the suite of services we provide. It complements other support for the people delivering legal services, such as mentoring, business review, review of cashflow, compliance policies & procedures and training.

For a long time we have been looking for the right person to launch this service. Vicky Simpson has joined the team. She has many years of experience in coaching people and teams in law firms at all levels, leading strategy days and suchlike. This may be provided on-site or remotely. Vicky will work with the firm to run through all aspects of the business from back office to Managing Partner/CEO and all the roles in between. Typically, this involves an initial scoping day, followed by a Strategy Day, before the firm embarks on a 12–18-month programme. Vicky will also work with individuals of the business for those who would benefit from 121 coaching.

Contact Us

[email protected]

or

Fill in the form below