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Author:   Andrew Hopper, QC ,  Gregory Treverton-Jones, QC
Publisher:   The Law Society
Imprint:   The Law Society
Edition:   Revised edition
ISBN:  

9781907698293

ISBN 10:   1907698299
Pages:   672
Publication Date:   31 December 2011
Audience:   Professional and scholarly ,  Professional & Vocational
Format:   Paperback
Publisher's Status:   Active
Availability:   In Print  
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Table of Contents

Part 1: Overview; 1. The regulatory and disciplinary landscape; 2. The authorisation of regulated entities; Part 2: The Principles and the Code of Conduct; 3. The principles and overview of the Code; 4. The Code; Part 3: Other rules; 5. SRA Accounts Rules; 6. COLPs and COFAs; 7. Financial services regulation; 8. Property selling; 9. Cross border practice; 10. Professional indemnity insurance; 11. Registered European Lawyers and Registered Foreign Lawyers; 12. Regulation by other approved regulators; Part 4: The regulatory system in practice; 13. The Legal Ombudsman; 14. SRA investigations; 15. Practising certificate controls; 16. Intervention; 17. Control of solicitors' employees; Part 5: The disciplinary system in practice; 18. Professional misconduct/conduct unbefitting a solicitor; 19. SRA-imposed sanctions; 20. Disciplinary proceedings before the SDT; 21. The SDT as an appellate body; 22. Disciplinary jurisdiction of the High Court; Part 6: The regulation of ABSs; 23. Getting started; 24. Enforcement; Part 7: Fraud and money laundering; 25. The risks of fraud; 26. Money laundering; Appendices: 1. SRA Principles; 2. SRA Code of Conduct 2011; 3. CCBE Code of Conduct; 4. The European Communities (Services of Lawyers) Order 1978; 5. The European Communities (Lawyer's Practice) Regulations 2000; 6. SRA Warning Cards; 7. The Money Laundering Regulations 2007; 8. SRA policy statement on publication of regulatory and disciplinary decisions; 9. Legal Ombudsman Scheme Rules 2010; 10. The Solicitors (Disciplinary Proceedings) Rules 2007 with Solicitors Disciplinary Tribunal practice directions and policy/practice note; 11. The Solicitors Disciplinary Tribunal (Appeals and Amendment) Rules 2011; 12. Extracts from the Solicitors Act 1974; 13. Extracts from the Administration of Justice Act 1985; 14. Extracts from the Courts and Legal Services Act 1990; 15. Extracts from the Legal Services Act 2007; 16. Summary of reporting obligations.

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Author Information

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 has been instructed in many of the leading cases arising out of the professional conduct of solicitors, appearing both for and against the Law Society in applications for judicial review, statutory appeals, and challenges to interventions. He is described in Legal 500 2009 as 'the leading barrister in solicitors' disciplinary work'.

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