The new Handbook

italiansaucySoftware and s/w Development

Dec 13, 2013 (4 years and 19 days ago)

120 views

The new Handbook

Overview


New structure and approach


Key changes in new Code of Conduct


E
nforcement changes


Supervision


Entity regulation


Implementation



BSB Handbook


Introduction (I)


Code of conduct (C)


Core duties


Conduct rules


Rules applying to specific groups


Scope of practice, authorisation and licensing
(S)


Qualifications (Q) (yet to be reviewed)


Enforcement (E)


Definitions(D)


The Code of Conduct


10 core duties (CD)


Core elements
of professional conduct that apply to all barristers
(and others)


Outcomes (o)


D
escriptive, rationale for rules and aid understanding of rules and
guidance; not mandatory but will be taken into account when
considering breaches of the rules


Rules (r)


Supplementing core duties where specific rules necessary


Guidance (g)


Assists in the interpretation of
rules, examples
of expected
behaviour
etc (not mandatory)


The Core Duties


You must observe your
duty to the court

in the administration of justice
[CD1]


You
must act in the
best interests of each client
[CD2]


You
must act with
honesty and integrity
[CD3]


You
must maintain your
independence

[CD4]


You
must
not

behave in a way which is likely to
diminish the trust and
confidence
which the public places in you or in the profession [CD5]


You
must keep the affairs of each client
confidential

[CD6]


You
must provide a
competent standard of work and service
to each
client [CD7]


You
must
not discriminate
unlawfully against any person [CD8]


You
must be
open and co
-
operative
with your regulators [CD9]


You
must take reasonable steps to
manage your
practice
,
or carry out
your
role
within your
practice,
competently and in such a way as to achieve
compliance with your legal and regulatory
obligations
[CD10]


The conduct rules


You and the court


Behaving ethically


You and your client


You and your regulator


You and your practice


Some key changes


All core duties to apply to unregistered
barristers when providing legal services


Trust and confidence and co
-
operation with regulators
apply at all times


Also need to provide information to clients


Associations and premises sharing


generally relaxed; but novel business arrangements
can’t circumvent the regulatory requirement / outcome
and especially not confuse clients



Reporting certain matters to the BSB:


includes serious misconduct by self and others


Exemption for barristers working on Ethical Helpline


Chambers admin:


Appoint someone to liaise with BSB


Members to take (reasonable) personal responsibility


No appointment of person disqualified by BSB


Requirement to have risk management arrangements
in place


Foreign work and public access




Further areas of clarification


Referral fees


Not misleading clients


Accepting and return of instructions


Non
-
discrimination and cab
-
rank rules


Ceasing to practice


Client money


Insurance



Scope of practice and
authorisation rules


Scope of practice of different categories of
barrister


Rules for issuing practising certificates


Includes rules for authorisation to conduct
litigation


Registration of European Lawyers Rules


Litigation


Self
-
employed barristers will be able to apply
for an extension to their practising certificate


Self
-
assessment questionnaire, including:


Knowledge, skills and experience of litigation;


Public access training;


Administrative systems and skills to manage
litigation effectively


Appropriate insurance


Application fee


Appeals process


Enforcement changes


Admin sanctions available for
b
reaches where
proportionate


Power to impose rests with PCC (can be delegated to
staff)


Max fine increased to £1,000 for individuals


Cases not appropriate for NFA or admin
sanctions referred to a disciplinary tribunal


New enforcement strategy

Enforcement changes


Disqualification powers:


Where breach caused and in public interest to
prevent them working for a BSB regulated person


Requirement to seek BSB approval before
employment


Only DT (or interim panel) could impose


May apply to us to have it lifted


Interim suspension and disqualification panels:


PCC’s powers enhanced


Triggers for referral and powers available widened


Immediate interim suspension powers

Supervision


New risk
-
based approach;


Chambers/entities initially


then other areas of
activity;


Risk
assessment
framework;


Priority to
higher risk sets of chambers or higher
risk areas through thematic reviews;


Supervision v enforcement


a focus on early,
constructive engagement rather than punishment;


Only persistent or very serious non
-
compliance
referred for
enforcement.

Regulation of entities


BSB seeking approval to become a regulator of entities


Entity regulation rules (in draft) are included in the
Handbook for information (see strikethrough text)


New Handbook proposes new duties for managers of
entities and authorised persons who work in them (rules
similar to those for self
-
employed barristers)


Specific HOLP and HOFA duties


Additional detailed authorisation rules


We expect these to be approved by the Legal Services
Board in the New Year

Implementation


Launch: 6 January 2014


Podcast coming soon


Webinar on
12 November

Handbook app


This is a prototype


Available on PCs, tablets and smartphones


Improved search function


There will also be a print version available to
download


http://handbook.barstandardsboard.org.uk






Handbook app


Features still in development


Filter your search according to practice type


Print button


Frequently asked questions


Email
bsbcontactus@barstandardsboard.org.uk

with
your suggestions and improvements