The SRA's outcomes-focused regulatory framework focuses on the high level principles and outcomes that should drive the provision of legal services. It is part of the philosophy of an outcomes-focused approach that prescriptive rules are avoided if possible and practitioners make a judgement, reflecting their own clients and the nature of their practice, as to how to achieve the required outcomes. The regulator provides only limited guidance. Written by Andrew Hopper QC and Gregory Treverton-Jones QC, authors of The Solicitor's Handbook 2011 and leading figures in the regulatory and disciplinary field, Outcomes-Focused Regulation provides an explanation of the practical impact of this new regime and is designed to provide guidance that might not otherwise be readily available. The book's structure mirrors that of the Code of Conduct in the SRA Handbook, providing a chapter on each of the new sections with additional chapters explaining OFR in principle; how regulation will apply in practice; and how the SRA is likely to interact with the profession in future.
Recenzijos
'A must-have purchase for the up-to-date practitioner' Phillip Taylor, Richmond Green Chambers
| Foreword |
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vii | |
| Preface |
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viii | |
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ix | |
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x | |
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Table of statutory instruments |
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xi | |
| Abbreviations |
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xii | |
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1 | (6) |
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2 | (1) |
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1.2 The principal changes |
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3 | (2) |
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5 | (2) |
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2 OFR: the historical context |
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7 | (14) |
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2.1 What is it, where did it come from, and do we need it? |
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7 | (1) |
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2.2 A brief guide to the evolution of `philosophies' of regulation |
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8 | (3) |
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2.3 What is principles-based regulation? |
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11 | (10) |
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21 | (6) |
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27 | (3) |
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28 | (2) |
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30 | (70) |
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30 | (1) |
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5.2
Chapter 1 - Client care |
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31 | (16) |
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5.3
Chapter 2 - Equality and diversity |
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47 | (3) |
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5.4
Chapter 3 - Conflicts of interests |
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50 | (6) |
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5.5
Chapter 4 - Confidentiality and disclosure |
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56 | (6) |
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5.6
Chapter 5 - Your client and the court |
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62 | (3) |
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5.7
Chapter 6 - Your client and introductions to third parties |
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65 | (4) |
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5.8
Chapter 7 - You and your business |
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69 | (7) |
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76 | (2) |
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5.10
Chapter 9 - Fee sharing and referrals |
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78 | (9) |
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5.11
Chapter 10 - You and your regulator |
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87 | (3) |
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5.12
Chapter 11 - Relations with third parties |
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90 | (4) |
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5.13
Chapter 12 - Separate businesses |
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94 | (6) |
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6 Application of the Code to in-house practice and overseas practice |
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100 | (9) |
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6.1 Application of the Code to in-house practice |
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100 | (5) |
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6.2 Application of the Code to overseas practice |
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105 | (4) |
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7 Other important changes |
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109 | (9) |
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109 | (1) |
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110 | (1) |
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7.3 SRA Authorisation Rules |
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111 | (7) |
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8 Summary of reporting and similar obligations |
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118 | (4) |
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8.1 Statutory requirements |
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118 | (1) |
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118 | (4) |
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9 OFR in practice: what will it be like? |
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122 | (9) |
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122 | (1) |
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9.2 SRA `risk rating' and visit process |
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123 | (6) |
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129 | (2) |
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1 Introduction to the SRA Handbook |
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131 | (3) |
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134 | (5) |
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139 | (37) |
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4 Draft SRA Handbook Glossary |
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176 | (42) |
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5 SRA: Outcomes-focused regulation at a glance |
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218 | (23) |
| Index |
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241 | |
Andrew Hopper QC was admitted as a solicitor in 1972 and was appointed Queen's Counsel in 2001 (the fifth solicitor advocate to be appointed Silk and the first outside the City of London). He is described in Chambers UK (2007) as 'the oracle of all things relating to solicitors' disciplinary proceedings'. He has specialised in the field of professional regulation and discipline since 1979. Gregory Treverton-Jones QC, barrister-at-law, of 39 Essex Street, was called to the Bar in 1977, and was appointed Queen's Counsel in 2002. He has practised in the field of professional discipline and regulation since the early 1990s. He is described in Chambers UK (2007) as 'a Law Society guru' and, in Legal 500 (2009), as 'the leading barrister in solicitors' disciplinary work'.
