Legal Services — SQE1 practice questions

Harriet runs Willcraft, a sole trader business offering legal document services to the public. Neither Harriet nor anyone she employs is a solicitor or any other kind of authorised or exempt person under the Legal Services Act 2007. For a fee, Willcraft drafts wills, gives general guidance on how inheritance tax works, and prepares the papers on which clients' families apply for grants of probate. Harriet has never described herself as a solicitor or lawyer in any of her advertising.

Which of the following best describes whether Harriet is carrying on a reserved legal activity?

1. AYes, because drafting wills for a fee is a reserved instrument activity, so Harriet commits an offence by doing so.
2. BYes, because giving advice about inheritance tax for a fee is a reserved legal activity that only authorised persons may carry on.
3. CYes, because preparing the papers on which a grant of probate is founded, for a fee, is a probate activity and so a reserved legal activity that Harriet is not entitled to carry on.
4. DNo, because the offence of carrying on a reserved legal activity is committed only by a person who holds themselves out as a solicitor.
5. ENo, because preparing probate papers is a reserved legal activity only where the estate is large enough to attract inheritance tax.

Gareth instructed Brookfield Solicitors LLP to act on his boundary dispute. He was unhappy with repeated delays and believes he was overcharged, but he does not allege any dishonesty or misconduct. He made a written complaint to the firm under its complaints procedure ten weeks ago and has heard nothing substantive since. The events he complains about happened four months ago. Gareth wants an independent body to look at his complaint and, if it is upheld, to order the firm to compensate him.

To which body should Gareth now take his complaint?

1. AThe Legal Ombudsman, because the firm has not resolved his service complaint within eight weeks and the complaint is within the time limit.
2. BThe Solicitors Regulation Authority, because it is the body that awards compensation to clients who have received poor service from regulated firms.
3. CThe Legal Services Board, because it oversees all the approved regulators and decides individual consumer complaints about them.
4. DThe Solicitors Disciplinary Tribunal, because a client may apply to it directly for compensation for poor service.
5. EThe Law Society, because it is the approved regulator for solicitors and handles complaints about their service.

Priya is a solicitor with a current practising certificate. She has just taken a job with WorkRight Ltd, a company that gives employment law advice to members of the public. WorkRight Ltd is not authorised by the SRA or by any other approved regulator, and it does not carry on any reserved legal activities. Priya will advise WorkRight's customers on dismissal and redundancy questions. Her manager tells her that, because the company is unregulated, she can ignore the SRA's rules altogether.

Which of the following best describes Priya's obligations when advising WorkRight's customers?

1. AShe may not provide any legal services to the public while she is employed by a business that is not authorised by the SRA.
2. BShe must hold the customers' money personally, in her own name, so that it is kept separate from the company's money.
3. CShe need not give customers any information about regulation, because the SRA Code of Conduct applies only to solicitors working in authorised firms.
4. DShe must refer every customer to an SRA-authorised firm before giving any advice.
5. EShe must ensure customers understand that WorkRight is not regulated by the SRA and which regulatory protections, such as the SRA Compensation Fund, are not available to them.