Regulation of the legal services market — SQE1 Legal services question
A worked single-best-answer question on regulation of the legal services market, with why each wrong option is wrong — the way SQE1 traps candidates.
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?
- AThe Legal Ombudsman, because the firm has not resolved his service complaint within eight weeks and the complaint is within the time limit.
- BThe Solicitors Regulation Authority, because it is the body that awards compensation to clients who have received poor service from regulated firms.
- CThe Legal Services Board, because it oversees all the approved regulators and decides individual consumer complaints about them.
- DThe Solicitors Disciplinary Tribunal, because a client may apply to it directly for compensation for poor service.
- EThe Law Society, because it is the approved regulator for solicitors and handles complaints about their service.
Show answer and reasoning
Rule: Service complaints against solicitors go to the Legal Ombudsman once the firm's own procedure is exhausted or eight weeks have passed, and the Ombudsman can order compensation.
- B The SRA deals with breaches of its regulatory arrangements, such as misconduct, not with redress for service complaints. (wrong rule)
- C The Legal Services Board is the oversight regulator; it does not determine individual consumer complaints. (wrong rule)
- D The Solicitors Disciplinary Tribunal hears disciplinary cases, usually brought by the SRA; it is not a forum for client compensation claims. (wrong rule)
- E The Law Society is the representative body; it has delegated its regulatory functions to the SRA and does not handle service complaints. (wrong rule)
Source: Legal Services Act 2007, Part 6 (ss 112-161); SRA Code of Conduct for Solicitors, RELs and RFLs, paras 8.3-8.4; Legal Ombudsman Scheme Rules