July 2022: The SRA has published new guidance about accepting instructions from vulnerable clients or third parties acting on their behalf. This following from consultation with the Law Society’s Mental Health and Disability Committee. Here’s a link to it:
https://www.sra.org.uk/solicitors/guidance/accepting-instructions-vulnerable-clients/
In case you missed it, the Law Society Gazette reported at the beginning of June 2022 that Hugh James Solicitors became the first conveyancer to complete a transaction with HM Land Registry with an electronic signature which does not require a witness. This has the potential to significantly reduce the period of time taken to convey a property (on average now 8 weeks).
It used Qualified Electronic Signatures (QES), which are a type of electronic signature based on public key infrastructure encryption. They include a digital certificate which can be issued only by an approved trust service provider (TSP) that issues such digital certification only after a face-to-face (either in-person or remote) identity verification process. A Law Commission working group found in February 2022 that these sort of electronic signatures can be at least as secure as physically witnessed ink signatures on documents such as deeds. This indicates the way things will go in the future, we think.
* 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.
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.
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.
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’.
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.
Everyone working at your firm is covered by the firm diversity data collection, not just solicitors. You should include:
You should not include:
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.
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.
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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
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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:
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:
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Ingemar@ingemarhunningsconsultancy.co.uk
