* Now Updated with the Email with the actual request for info*

The SRA seem to be emailing firms they regulate to ask them to get ready for a request for information concerning AML on matters they have worked on in the last year. This is kind of them! They state that they will contact firms in June to tell them how they submit the information. The deadline for submitting this will be 31st July 2022. A response in mandatory under 3.3 of our Code of Conduct for Firms. The responsibility for submitting the information falls on the COLP. The SRA state that they may take action if firms fail to provide the information. In the past they have levied fines of several thousand pounds. Please check in your 'Junk' mail inbox in case the email has gone there.

They are giving firms a 'heads up' of what the data is that they will be requesting. It concerns matters worked on in the last year. With regard to what 'the last year' means they write:

"Where we ask for information in relation to 'the last year'. Please choose whatever time period works for your firm, this could be:

The last calendar year
The last tax year or
The last year to date"

Below is a copy of the email that some of our client firms have received from the SRA and then also the questions that the SRA are asking so you may see what info they want.

Whilst here, please note that we can help with your questions about AML, we provide an Independent AML Audit, AML Training and support for all compliance issues facing SRA regulated firms - plus also a DPO service and assistance with Data Protection compliance. Feel free to fill in the form below to request further information.

First here is a copy of the actual request that is going out to firms in June - deadline for submission 31.7.22

QWE, in the context of qualifying as a Solicitor of England & Wales, stands for Qualifying Work Experience. It is one of the 4 elements the SRA (Solicitors Regulation Authority) requires an Aspiring Solicitor to complete before they admit them onto the roll as a qualified solicitor of England & Wales.

The SRA require you to have 2 years Full Time Equivalent QWE confirmed to them by a solicitor whom they regulate.

So, it has to be confirmed to them by a solicitor they regulate - it cannot be a barrister. They do not regulate barristers. It cannot be a foreign qualified lawyer - unless they are also qualified as a solicitor of England & Wales. The point is that it is someone whom they regulate who does the confirmation - effectively for them and to them. I guess, so they have some sanction and control if the solicitor doesn't fulfill their role properly.

2 years full time equivalent - as far as we are aware there is no definitive definition of what 'full time' means. So we guess it is up to the opinion of the confirming solicitor. Ingemar Hunnings is our solicitor who confirms QWE for people who do not have an SRA-regulated solicitor in their organisation, is of the view that 30-35 hours a week QWE would be full time equivalent. (Holidays are permitted!)

The SRA has been clear that QWE can but does NOT need to be gained in a law firm, does NOT need to be gained in England & Wales, does NOT need even to be paid, so may be voluntary work. You may reach back in time as far as you want.

What it DOES need to be is "the provision of legal services". Whether what you do falls within that definition, will again be up to the judgment of the Confirming Solicitor. Ingemar Hunnings always offers a free, no obligation zoom to explore this and give general advice about SQE & QWE before committing to assisting in confirming QWE (see below). Best advice is always to use an internal SRA-regulated solicitor, if one is available.

If you plan to start a job which you plan to use as QWE, we would suggest you make this clear to your prospective employer and also, if there is no SRA regulated solicitor in that organisation to confirm your QWE, find someone outside who is willing to do this for you and check with them that they believe the work will be QWE. The last thing you want is for you to work there for 2 years and then find out that it doesn't amount to QWE!

Follow the link below for other top tips about QWE:

https://hunningsconsultancy.co.uk/qwe-confirmation-5-top-tips/

External QWE Confirmation Service

If you need someone to confirm your QWE and there is no-one in your organisation - we can help. Please see the link below. Ingemar has successfully done this for over Aspiring Solicitors so far from around the world.

QWE - External Confirming Solicitor Service - for Aspiring Solicitors

One of our clients has kindly given permission for us to publish his feedback after having sat the first ever SQE2 exam - in April 2002. Many have asked questions about the exam. So, here is what one person said about their experience. We have put this post up on the hope that it is of some help.

“The first tranche of exams is the written portion. That's four written assessments each day for three consecutive days. It's less of a brain drain than the multiple choice testing method [SQE1 exam], but timing is everything. Then comes the Easter break.

The oral portion consists of four assessments over two days: civil advocacy, criminal advocacy, a property practice client interview and a wills and probate client interview (one client interview and one advocacy assessment per day). Once again, timing is everything. On day one, because of nerves, I didn't look at the clock and note my start time, so I was driving blind and finished early for both assessments. Silly. Don't leave vacant minutes of point-scoring, unless you're supremely confident in your abilities (I learned from my mistake on day two).

So: sixteen assessments in all, four of which are oral. The standard is that of a 'day one solicitor', which I understand to be imported from the USA's uniform bar exam (though this doesn't have an oral component). Quite whether I demonstrated that I met the standard remains a mystery to me, and will remain so until August.”

More info about the SQE2 & SQE1 exams:

https://hunningsconsultancy.co.uk/the-new-sqe-exam-and-qualification-method/

External QWE Confirmation Service

If you need someone to confirm your QWE and there is no-one in your organisation - we can help. Please see the link below:

QWE - External Confirming Solicitor Service - for Aspiring Solicitors

All SRA regulated firms, regardless of size, have to collect, report and publish data about the diversity make-up of their workforce every two years.

Update on the collection of diversity data in 2021

The SRA received diversity data from 90 per cent of law firms in 2021 and the data is available to view in our firm diversity data tool.

In accordance with paragraph 1.5 of the Code of Conduct for Firms, it is a regulatory requirement that you submit your firm’s diversity data. If your firm did not report in 2021, they will be contacting you with instructions on how to report your data now.

If you need access to the data you reported, please email us.

 Collecting diversity data

The diversity questionnaire

You can download a Microsoft Word version (DOC 6 pages, 173K) of the new questionnaire they used for collecting firm diversity data in 2021.  Read more about the changes they have made on their Q&A page. If you were not able to make the required changes to your HR systems in time for the 2021 reporting exercise, the SRA have asked you to make sure they are up to date by the time they collect data again in 2023. If you have any questions, please follow this link: contact us.

Encourage your staff to complete the questionnaire

They ask that when you collect diversity data from people working at your firm, do not make assumptions about them. Everyone should be allowed to complete the questionnaire themselves.

Although you must give people an opportunity to respond, you cannot compel anyone to provide their diversity information. However, they may want to take part if they understand they can choose 'prefer not to say' for the questions they would rather not answer.

If you are a sole practitioner or small law firm, you still need to submit your diversity data, even if you are the only person within the firm. If you are concerned about disclosing any personal information, then please select ‘prefer not to say’. 

Think about data protection before you start 

Before you start, you should tell people how the data will be used and who will have access to it. Read more about how we use the data on the what you need to know tab. Make sure you comply with the data protection legislation when you collect, store and process this information. (Remember that Hunnings Consultancy provide and assistance on Data Protection matters - contact us for more info by filling in the form below.)

Please also remember that the data reported to the SRA can be seen by all authorised signatories and organisation contacts for your firm.

You may prefer to collect the data on an anonymous basis, however the information will be much more useful to you if it is linked to an individual, eg by reference to a confidential identification number. Then it can be used to monitor a range of employment activities over time, such as promotion, pay rates, or recruitment practices. People are more likely to provide information which can be traced back to them if you reassure them about confidentiality and tell them how your firm will keep their data secure.

Who should be included in the collection?

Everyone working at your firm is covered by the firm diversity data collection, not just solicitors. You should include:

• Full-time and part-time employees.
• Employees on maternity leave or on long term sick leave (but only if they are in contact with the firm during their absence and are willing to respond).
• Temporary employees, those on a secondment contract, consultants or other contracted staff working with you for three months or longer.

You should not include:

• People engaged in work which has been outsourced by the firm.
• Barristers or other experts engaged by the firm on individual matters.
• People who are normally based outside England and Wales.

Other Services

While you're on our website, we invite you to have a look at our other services: Compliance Support & Business Consulting Support for your law firm.

Compliance Services

Consulting Services

Lovely to receive this testimonial from one of our client firms:

"Ingemar has provided me with great support with my law firm. HCL has been extremely helpful with the implementation of LEAP case management system and training in respect of the same. HCL was available to answer all questions and queries. There has been general support in respect of my firms office manual and preparation for my Lexcel accreditation to which I have passed. I would strongly recommend the use of these services."

Charlene Berry - Berry Legal

Feel free to visit our Services drop down from the top of this page. We have packages there but will always be willing to discuss and bespoke around your needs.

We provide a 'One-Stop-Shop' for business support for Law Firms and other professional service firms. Recognising that a busy partner probably wants to concentrate on the client work, we can be an expert external resource across areas of consulting, Case management use and compliance. If we don't do it, we probably know someone who can.

Contact Us

Fill in the form below

or

[email protected]

or

07887 524507

Firms have now been told if they were successful. This is conditional on obtaining SQM or Lexcel or whatever else they require! Feel free to reach out if you need help. We were contacted by 2 firms yesterday - one whilst the SQM auditor was still doing the audit in the firm! I'm told the deadline for satisfying the LAA is 27th March 2022. We will be able to help this firm in good time for that deadline.

If you need help

Fill in the form below

or email:

[email protected]

More Info

https://www.hunningsconsultancy.co.uk/sqm-accreditation.../

AML - changes coming soon - Those in the Legal & Financial sectors in particular, but all business in general, will need to keep an eye out for this. Obviously this is to cut the ability of Russians to launder their money and arises from the reaction to the invasion of Ukraine by Russia. I've seen a report on the BBC that the UK will be bringing this in in March. This will include a requirement to show the true identity of the owner of property & action to strengthen Unexplained Wealth Orders (UWOs). Also, all AML officers will need to keep an eye on the Sanctions List - as there are likely to be additions.

Here is a link to where you may access the Sanctions List:

https://www.gov.uk/government/publications/the-uk-sanctions-list

Here is a link to the BBC article:

https://www.bbc.co.uk/news/business-60549927

Feel free to contact us for general AML advice and assistance. Fill in the form below.

DPO stands for 'Data Protection Officer'. He or she is the person appointed by your organisation as the specialist to advise on ensuring that you are compliant with GDPR and Data Protection requirements.

We asked our Data Protection Officer, Nick Richards CIPP/E CIPM FIP, to list some of the things he does for our client firms:

• Creating/reviewing Data Processing and Data Sharing Agreements
• Carrying out gap analyses on firms’ data protection compliance
• Updating Privacy Notices and other mandatory documents to reflect Brexit changes
• Completing Standard Contractual Clauses and Risk Assessments for international transfers
• Training staff on data protection regulations
• Advising on setting up data subject rights procedures and templates
• Assisting with Data Protection Impact Assessments (DPIAs)
• Advising on landing pages text for webinars
• Liaising with the ICO

You don't need to employ a full time DPO. You can hire someone part time or indeed just for the hours needed by your organisation. Indeed, there is a a good argument for hiring an external DPO - they are more independent, so can be more candid than perhaps an internal employee and they will bring with them experience from other organisations where they act as DPO.

We offer DPO as a service, where you may hire our DPO by the hour for what you need, or indeed for a one off review or other job. Indeed he can assist with general GDPR & Data Protection advice without being appointed your DPO.

Here is more information:

Contact Us:

Fill in the form below

Or

Ingemar@ingemarhunningsconsultancy.co.uk

If you are a Foreign Qualified Lawyer (not England & Wales) then you may get exemption from some or all of the requirements for qualifying as an English Solicitor under the SQE route.

Normally you will be exempt from the requirement to have your QWE confirmed to the SRA.

You may also get exemption from the SQE1 or the SQE2 exam. This will depend upon what the SRA decides. Do check with them direct: [email protected]

Below is a link to the SRA website page where you can see what SQE exemptions have been agreed so far for certain jurisdictions. You will see that several have been considered but exemption not given. Where it has been given there is a link to apply for the exemption for yourself.

https://www.sra.org.uk/become-solicitor/qualified-lawyers/agreed-exemptions/

Exemptions - general

These can be applied for by an individual or on a jurisdictional basis. However, you still have to apply to the SRA for the exemption. For the SRA it is an exercise in comparative law between the 2 jurisdictions. On a webinar we attended the SRA said that it was unlikely that they would be unlikely to grant an exemption to SQE1 for a civil law jurisdiction, as the legal systems are so different.

SQE1 - this will be harder to obtain from the SRA. You will need to show a) what the home qualification covers and b) that it is not substantially different from the law in England & Wales.

SQE2 - this might be a little easier. You will need to show that the practice rights and way that lawyers in that jurisdiction practice law is substantially the same as in the England & Wales jurisdiction.

English Language - the SRA did make a point that they regard it as important that a qualified English solicitor can speak and write English (or Welsh). So, if they have not been able to assess this, because someone has been granted exemption from the SQE2 exam, they may, at the point to assessing your application to be admitted and an English Solicitor, requite you to sit a test to prove your competence in speaking & writing in English.

QLTS: Abolished with the introduction of the SQE. If you've passed the MCT, the last sitting of the 2nd exam to qualify through the QLTS route has now happened so you cannot complete your qualification through the QLTS route. You have to qualify as a solicitor of England & Wales through the SQE route. If you have passed the MCT the SRA will grant you exemption from the SQE1 exam (but you do need to ask them for this exemption). If you want to apply for exemption from the SQE2 exam then see below.

Applying for an exemption for SQE2

You may do this if your country or jurisdiction appears on the list on this page (meaning that the SRA has studied it and found this appropriate): https://www.sra.org.uk/become-solicitor/qualified-lawyers/sqe-exemptions/

Below you will find the form to apply for exemption. This is our understanding of the rules on how to apply as a foreign qualified lawyer for an exemption from having to take SQE2:

Section 7a – 2 years professional legal work experience was gained as part of your qualification: upload the form to your 'MySRA' portal + presumably proof of qualification + fee £265

Section 7b – instead, 2 years professional legal work experience was gained post qualification: you need also to get a reference for this work and a ‘certificate of good standing’ from your local legal regulatory body + upload the form to your 'MySRA' portal + presumably proof of qualification+ fee £265

Section 7c – your 2 years professional legal work experience is a combination of both post qualification and as part of your qualification: you have to do what is required for both 7a & 7b above.

Section 8 – you do not have 2 years professional legal work experience: you will have to fill in the table at section 8 and submit with it a dossier of supporting evidence + fee £265. (We may be able to assist you with this. So far, we have helped over 30 people with confirming their QWE to the SRA. This looks similar, but requires the submission of a dossier of evidence.)

You will also have to complete sections 1-4 of the form before submitting it to the SRA through your 'MySRA' portal with presumably proof of qualification and their fee of £265.

Below see our notes of our research on what the SRA would like in the supervisor refernec that you will have to supply with 7b and 7c above.

If your regulatory body asks what should be in a Certificate of Good Standing, we also have asked the SRA but not been given any guidance. Perhaps having a look at what the SRA themselves when asked to produce a Certificate of Good Standing, might give some guidance. Here is a link to the page on their website about that: https://www.sra.org.uk/solicitors/certificates/certificate-good-standing/

Submitting your Application to the SRA

To make your application apply online in mySRA. If you do not already have an account, you will need to create an account to access the form.  

Once logged in, select 'Start new applications' on the homepage. The application is called 'Apply for qualified lawyer exemption from the SQE assessments'.

Make sure you upload everything they ask and don't forget to pay them their fee.

The SRA say they will let you know their decision within 180 days of receipt of the application for exemption.

External QWE Confirmation Service

If you need someone to confirm your QWE and there is no-one in your organisation - we can help. Please see the link below:

Ingemar has been acting as an External Confirming Solicitor since the summer of 2020. He has spoken to hundreds of Aspiring Solicitors. These are some tips from his experience to help Aspiring Solicitors on their journey to qualify as a solicitor in the England & Wales jurisdiction.

• Discuss it in good time with the Confirming Solicitor:  you will be asking this solicitor to confirm you QWE to the SRA. It is best that they are aware in good time and have agreed to this. If they are your supervisor, then that should be a pretty straightforward process, as they will have seen your work. If they are not, then they will have to do a bit more – review your work and obtain feedback from your supervisor. You may want to use the SRA’s suggested QWE Review Form and so be collating examples of the work you have done that allows you to gain the competencies listed by the SRA and earmarking the evidence of them to show the confirming solicitor.

• If leaving an organisation – get your QWE confirmed before you leave: it is much easier to have someone confirm your QWE whilst you are still in the organisation. You will have access to the work done to show as evidence to the confirming solicitor. The organisation much more likely to be co-operative while you’re there.

• Gather Evidence in support: if you will need someone other than your supervisor to confirm your QWE, they will need to see evidence your work which you have used as examples which allowed you to gain the competencies listed by the SRA. If you gather them as you go along it will make life easier for you when it comes to completing the SRA’s suggested QWE Review Form or whatever other firm or the confirming solicitor might use.

• Use the SRA QWE Review Form as you PDP: if you are in a law firm doing your QWE, or even if in some other organisation, you could use the form and the list of competencies in it as a personal development plan during the time whilst working to get your QWE. After all – these are the soft skills and business skills the SRA says it would expect a qualified solicitor to have.

• Check if work would be QWE: when you are contemplating a new job, think if what you do will constitute QWE. If it is a law firm, then it is most likely to do so, and you can ask at the interview if they would be willing to confirm your QWE. If it is some other organisation, then check. You will then, anyway, be needing the services of a solicitor outside the organisation to confirm your QWE. Find someone and ask them. The SRA has given no definition of what constitutes ‘provision of legal services’, so that is up to the judgment of the confirming solicitor. So, it is a good idea to find someone to do this and check with them – to avoid any nasty shock 2 years or so down the line!

Should you have more questions then please feel free to contact us and arrange a free, no obligation zoom with Ingemar Hunnings.

Listen to this in a podcast: https://anchor.fm/ingemar9/episodes/QWE---5-Top-Tips-e1dqcov

Contact Details

Fill in the form below or

[email protected]

or 07887 524507

External Solicitor Confirmation Service:

Please find a link here for more info: https://hunningsconsultancy.co.uk/external-qwe-certification-service-2/

What is QWE?

Please find a link to a brief podcast: https://anchor.fm/ingemar9/episodes/What-is-QWE--Part-of-the-SQE-route-to-qualifying-as-an-English-Solicitor-e1dllkp

How to Register your QWE with the SRA

Please find below a brief podcast: https://anchor.fm/ingemar9/episodes/How-to-register-your-QWE-with-the-SRA-SQE-route-e1dpjk3