Solo Winter 2023

From the Chairwoman

Solicitors Indemnity Fund (SIF)

This still remains a prominent issue for our members and as I reported in the last edition of Solo the Solicitors Regulatory Authority (“SRA”) had announced that they were minded to bring in a new consumer protection arrangement to be administered by the SRA either as a compensation scheme or an indemnity scheme.

The SPG as key stake holders have had direct input throughout the process. The SPG consultations with the SRA assisted in achieving the desired result of the indemnity protections being maintained for our SPG members as well as the protections for the consumer.

The SRA have now confirmed that the new consumer protection arrangement will be an indemnity scheme which provides the same access to, and the same level of indemnity as the current SIF scheme.

The new SRA indemnity scheme will provide indemnity cover as permitted by section 37 of the Solicitors Act 1974 and complies with the definition of an indemnity arrangement pursuant to section 21(2) of the Legal Services Act 2007.

The new SRA indemnity scheme is also to be ringfenced in order to provide indemnity protection and deal with any claims brought against solicitor’s firms that have ceased practising after the expiry of the six years run off cover.

The SPG will still be involved directly at a senior

level as the new SRA scheme is implemented as there will be a requirement for suitable transition arrangements to be put in place while SIF Ltd is wound up and it will be important that there are systems put in place for transparency and reporting purposes, among other issues.

We will continue to keep members updated.

Top Table Event

The Top Table event at Hanbury Manor Marriott Hotel & Country Club, Hertfordshire, on Friday 11th November 2022 was a great success.

The Top Table event gave our members the opportunity to join the heads of our regulatory and representative bodies along with key industry leaders in a small group setting and chat face to face and raise concerns and /or obtain clarity on issues that affect you.

Such was the success that the Executive Committee have agreed that the Top Table event will be held annually.

I am therefore pleased to announce that the next Top Table event will be held on Saturday 25th November 2023 at the same venue, the Hanbury Manor Marriott Hotel & Country Club which is a fabulous Jacobean country manor five star hotel situated in over 200 acres of lush Hertfordshire parkland to give us all that feeling of ‘getting away from it all’.

The event will be full day conference with a drinks reception followed by a Gala Dinner in the evening.

For more information please visit our website at www.spg.uk.com

SPG Annual Conference - June 2023

The Executive Committee have agreed that the conference this year will be held in Vienna on 9th - 11th June 2023.

We will keep members updated through our SPG Newsletters and on our website at www.spg.uk.com

Engagement with Members

We continue to maintain contact with our members via Mail Chimp notifying you of seminars, consultations and other items that may be of interest you.

The SPG website’s members private interactive forum is live and can be accessed here spg.uk.com/forum

As it is a private member only forum, you will need to first register to access it. Members can engage with each other and access useful information in their areas of practice as well as other areas.

Committee Attendees

If any SP member would like to attend the National Executive Committee meetings as an observer, or are interested in becoming a committee member, please contact me at joanna@spg.uk.com.

Joanna Connolly SPG Chair

Both I and the Executive Committee wish all our members a Happy New Year.

From the Editor

In December I found myself reflecting on 40 years as a solicitor. By coincidence I very recently attended a function at the Law Society Halls in a room in which I was formally admitted to the Roll. I hadn’t been there in all those years, and spent a moment remembering my parents, now deceased, who sat proudly with me. Lord Justice Donaldson was Master of the Rolls and signed to confirm my admission. I recall a number before me hoping to have theirs signed by Lord Denning.

In 1980 the Law Society made new training requirements to improve standards and I was part of the first tranche. Articled clerks became trainees, we were to be paid a minimum salary (£1,750) and the firm had to sign a training log showing experience in mandatory areas of law. I did my training with a small firm in Woking.

The firm was very old fashioned, and I had to work quite hard to get them to accept I wasn’t just there to photocopy, and hand deliver local mail. That’s not to say I avoided these; far from it. I got to know people in a number of the local businesses, discovered the best bakery in Woking and could have had a second career as a photocopier technician.

My training principal also instilled in me some basic attitudes I have never forgotten. He was amongst the first Royal Marines to enter Berlin as the Allies advanced in 1945. He was then a young officer and in civilian legal life he was an absolute stickler for doing things correctly and behaving properly. Part of my training involved watching and listening as work was done and I had a small desk in his office so that I could observe. Looking back this was invaluable. I can still picture him and although at the time he could be exasperating I remember him fondly and with great respect. He instilled the basics of integrity, standing up for what was right, and the “fearless” quality of being a lawyer. There are training courses for this now.

Looking back, I owe him a great deal. I also fondly acknowledge the contribution of my other life

mentor who taught me to remember at times of challenge that life is too short to work with idiots. That too continues to stand the test of time.

In the midst of all this, I got married to Jane, who worked for what was to become the Crown Prosecution Service. We have three wonderful children who have shown great wisdom in not going into law and one grandson. Who knows what the future holds for him.

1982 brought a move to Kent and to a firm which didn’t use old copiers! There was an array of support – it was a revelation. It had a telex machine and computerised accounts. It was and remains a firm with a long history and fine reputation. I did divorce and criminal work and was a duty solicitor. Wearing a pager on my duty days and nights wasn’t welcomed once my first child came along.

I learned the basics of court work and over the years ahead did much civil and criminal advocacy. Magistrate’s courts were still called police courts. Police interviews were handwritten and not recorded. PACE was enacted to address certain behaviours! This all served me well as I acquired Higher Court Advocacy Rights for both crime and civil later in life.

I recall my first mobile phone and when email and the internet became parts of life. I have watched about half of Magistrates Courts in Kent close over the years. I have seen legal aid disappear. Secretaries taking shorthand changed to dictating machines and then to voice recognition. I have prosecuted and defended in criminal and civil courts. Legal life has been rich, varied, challenging and in no small measure a roller coaster. It has been a source of elation and despondency, stress and laughter.

So much has changed. This edition of SOLO now gives prominence to men’s mental health (never spoken about in my earlier years), and this combines neatly with the SRA at last announcing it will take workplace toxicity seriously as a conduct issue. Both so important.

40 years has taken me from bachelor to husband, to father, to grandfather, and from assistant solicitor to partner to sole practitioner. It’s been a blast.

David Barton Editor

THE FIRM WAS VERY OLD FASHIONED, AND I HAD TO WORK QUITE HARD TO GET THEM TO ACCEPT I WASN’T JUST THERE TO PHOTOCOPY

Get to know the Exec TeamSarah Austin

WHY LAW?

Law is my second career, and I chose it because I wanted to be a member of a positive profession.

WHAT IS YOUR FAVOURITE THING ABOUT YOUR CAREER? It is never the same on any given day.

WHAT MOTIVATES YOU?

Being able to simplify the law for clients.

WHAT DID YOU WANT TO BE WHEN YOU WERE A CHILD? A pilot.

WHAT WAS YOUR FIRST JOB?

I was an administrator in an investment arm of a global pharmaceutical company.

WHAT MAKES YOU LAUGH THE MOST? Anyone that thinks solicitors are fat cats.

WHAT WAS THE LAST BOOK YOU READ? “Education” by Tara Westover about her childhood off grid in a religious society.

IF YOU COULD LIVE ANYWHERE, WHERE WOULD IT BE? Where I live now except in the winter, when I would prefer to live in a warmer climate like Thailand.

WHAT'S YOUR BIGGEST PET PEEVE? Unfairness.

WHAT WOULD YOU SING AT KARAOKE NIGHT? Nothing no-one deserves that assault on their ears.

Get to know the Exec TeamNazmin Choudhury

WHY LAW?

My father was involved in a litigation case when I was 16, his business partners had tried to swindle him, I attended all courts and meetings with him and saw how helpless at times he was understanding matters and paying huge fees. That inspired me to become a lawyer.

WHAT IS YOUR FAVOURITE THING ABOUT YOUR CAREER?

The ability to help people. A cliché but true and that against the odds I became a lawyer despite being told that a Bangladeshi girl from a comprehensive school had the odds stacked against her and that it was a very elite profession.

WHAT MOTIVATES YOU?

My late father always and everyday I recall his advice, “the pen is mightier that the sword,” “education gives you more power than just money ““don’t forget your origins and who you are” and many other sayings that I quote to friends and family. As E E Cummings wrote “I carry your heart (I carry it in my heart).”

WHAT DID YOU WANT TO BE WHEN YOU WERE A CHILD?

First a waitress as my father named a restaurant after me near my office called “Nazmin’s.” It is still there to this day. Then an airhostess as I thought it was so glamorous being able to travel. My father was not amused as he had high hopes of me being the first in the family to go to university!

WHAT WAS YOUR FIRST JOB?

Delivering the local Guardian news paper door to door. I didn’t last long as there was so much to carry aged 14 and there were so many dogs barking at every other property!

IF YOU COULD ONLY EAT ONE MEAL FOR THE REST OF YOUR LIFE, WHAT WOULD IT BE?

Roast dinner with all the trimmings – no not curry though I do love that too.

WHAT ARE YOUR HOBBIES?

Hosting dinner parties, travel and doing charity work in Bangladesh

HOW WOULD YOUR FRIENDS DESCRIBE YOU?

Hardcore with a soft heart, like marmite but once you get to know her, you’ll like her know she’s fair, kind and says it how it is regardless.

WHAT THREE ITEMS WOULD YOU TAKE WITH YOU ON A DESERTED ISLAND?

The Quran, a knife and a hammock

FAVOURITE PART OF THE UK? WHY?

London, its where I was born, where I work and it’s the capital city with so much diversity.

Welcome to our New Executive Committee Members

In October last year we welcomed two new Executive Committee Members to the team, Sarah Austin and Nazmin Choudhury. Both put forward a request to come and spectate at an Executive Committee Meeting.

Executive Committee Meetings take place quarterly, Sarah and Nazmin attended the October 2022 meeting, and they were co-opted onto the Committee. It was clear they would bring a wealth of knowledge, alternative thinking and a different perspective to an already diverse Executive Committee Team.

Sarah is a Sole Principal of her own Lexcel accredited firm, a serial volunteer, and a contributor. Sarah is a former Honorary Treasurer and executive member of the National Association of Women Solicitors (AWS) and later the Women Lawyers Division (WLD). She represented AWS and WLD for the maximum term of twelve years on the Law Society Council. As well as serving on the Law Society Board, Audit and Risk Committee, Policy and Regulation Board and Equality, Diversity Inclusion Committee.

Currently she is a member of the Judicial Appointments Advisory Group, considering selection exercises for fairness and accessibility. Whilst the Chair of the Lexcel Panel, she promoted it especially amongst smaller firms and sole practitioners. She has authored articles, contributed to consultations, committees, boards and working parties, addressing inclusion, social mobility and governance. In addition, she holds statutory appointments for the Councils of Buckinghamshire, Milton Keynes, Luton, Bedford and Central Bedford Council, as their Independent Person, dealing with complaints brought against parish, town and county councillors.

Nazmin was born in London, but is of Bangladeshi heritage, and is one of the first to attain a law degree in her generation from that heritage. After qualifying in 1992 and working for renowned firms, Nazmin set up her own practice NC Law in 2010. It is a few doors away from her father’s restaurant, also called Nazmin’s, and named after her. Clients often ask her if she knows there is a restaurant three doors away with the same name!

The practice deals with conveyancing, commercial and residential, all aspects of civil litigation and wills and probate. Nazmin is zealous about the rights of Sole Practitioners, especially the exclusion of Sole Practitioners on many lenders panels. Nazmin’s clients range from corporate companies, and property developers to individuals, and all clients are through recommendations and referrals.

Nazmin is married with three children, and is passionate about travel, women’s rights and her heritage in Bangladesh. She travels to Bangladesh regularly where she tries to carry on the prolific charity work started by her late father. The work includes empowering young girls to attain their goals, clean water, education, housing and she collects clothes from friends and family and distributes to less unfortunate in the villages and maternity hospitals.

If you would like to request to attend an Executive Committee Meeting, please email info@spg.uk.com

Jo Connolly SPG Chair

Sole Practitioners Group Executive Committee

JOANNA CONNOLLY

Chairwoman

Joanna is well known as an expert in the complex field of consumer credit law. She is a Solicitor Advocate and qualified to represent clients in the Higher Courts. Joanna’s experience and passion for helping people is reflected in her exceptionally high success rate. Joanna and her team run a thriving practice dealing with clients from all over the country. Hers is the ‘go-to’ consumer credit defence firm in the UK.

Tel: 0330 053 9340

Email: joanna@spg.uk.com

Joanna Connolly Solicitors

33 Cheadle Avenue • Liverpool • L13 3AE

DORCAS FALODE

Vice Chair & Head of Health & Wellbeing

Dorcas has been a Sole practitioner for over 12 years and has offices in London and Lagos, travelling regularly between them. She specialises in Immigration Law dealing with entry clearance cases, settlement, visitors’ and students’ visa applications. The practice also deals with family and education cases, giving a voice to the weak and defenceless. She recently authored a book called Nigerians Inspire which serves to promote the image of Nigerians against a backdrop of bad publicity caused by a minority and to encourage young people to believe in themselves. She won the Gathering of Africa’s Best (GAB) Award of excellence for contribution to the promotion of positive image of Africa and Africans through motivation. Dorcas is married with four children and outside work is a counsellor, nurse, cook, Taxi driver and tutor to her four young adults. She loves to travel and finds shopping very therapeutic.

Tel: 020 3223 1061

F: 020 3223 1067

Email: dorcas@spg.uk.com

DF Solicitors

791 Sidcup Road • London • SE9 3SB

CLIVE SUTTON

Honorary Secretary

Clive specialises in private and commercial litigation and has been a sole practitioner in Lymington in Hampshire since leaving a partnership in 1998.

He is Chairman of his local Amenity Society in Lymington and Trustee of the New Forest Centre Museum in Lyndhurst. Clive has been an SPG committee member since 2000 and served as Chairman, and then as Hon Secretary and Chair of the Insurance Subcommittee from 2006. He was on the Law Society Council Membership Committee for 10 years and since 2017 has been the SPG Nominated Law Society Council Member, serving now on the Councils Scrutiny and Performance Committee.

Tel: 01590 672 595

2023

F: 01590 671 466

Email: clive@spg.uk.com

Clive Sutton Solicitor, 3 The Old Print Works • 85b High Street Lymington • Hants • SO41 9AN

PENNY RABY

Honorary Treasurer (Previous Chairwoman)

Penny has been a SP specialising in family law for 20 years, working with her husband Mike a Forensic Accountant on divorce cases involving business and complex asset and income tracing and Inheritance Act disputes. She won Worcestershire Family Lawyer of the Year award in 2014 and was nominated for the National Family Law Magazine Family Law Firm of the Year for 2015. She has appeared on radio and television and has presented her networking pantomime ‘Snow White and the Seven Small Business People‘ here and abroad.

Tel: 01386 555 114

Email: penny@spg.uk.com

Penny Raby & Co

Harmony House • 7-9 Church Street

Pershore • Worcestershire • WR10 1DT

SUKHJIT AHLUWALIA

Marketing Officer & Conference Organiser

Having worked in some of the most prestigious banking and consultancy organisations, Sukhjit opted to provide a more personal, one to one service through his own practice. He has been based in Goodmayes in Ilford since 2003. Sukhjit likes to get involved in charitable activities, working with organisation to assist people from all backgrounds and ages in reaching moral excellence either in their private or professional lives. His children are still young and take up a great deal of his time but when he does have time for himself, Sukhjit likes to sit, read a good book and watch the world go by.

Tel: 020 8215 0884

Email: sukhjit@spg.uk.com

Avery Emerson

Gloucester House • 335 Green Lane

Ilford • Essex • IG3 9TH

RAHIL CHAUDHARI

Regional and Association Groups Officer

Rahil Chaudhari is a Senior Solicitor at Arlingsworth Solicitors. Rahil secured an LLM at University College London and trained and worked at some of the most prestigious law firms in the City before joining Arlingsworth in 2005. Rahil is a highly experienced and versatile solicitor and specialises predominantly in immigration, human rights and company law. Rahil has become a leading authority in these areas, his client base spans a wide range of sectors from multinational companies to private individuals.

Tel: 01273 696 962

Email: rahil@spg.uk.com

Arlingsworth Solicitors Ltd

145 Islingword Road • Brighton East Sussex • BN2 9SH

OLUWAKEMI MOSAKU

Diversity Officer

Kemi was qualified a barrister and solicitor in Nigeria in 1989 and admitted as a solicitor in England and Wales in 2004. She has a varied work experience which includes working in the immigration department of the Home Office and in private practice. She specialises in Immigration and Human Rights Law. She also undertakes family law work. Outside work Kemi enjoys spending time with her sons. She also enjoys keeping fit, music, networking, reading biographies and current affairs.

Tel: 01634 780 230

Email: kemi@spg.uk.com

Emerald Solicitors

The Old Courthouse • 1 The Paddock Chatham • Kent • ME4 4RE

DAVID BARTON

Editor, Solo

David qualified as a solicitor in 1982. He became a sole practitioner in 2003. He specialises in solicitors’ professional misconduct and criminal road traffic work. He has rights of audience in the Higher Courts. David is married with 3 grown up children. He is a keen cyclist, golfer, walker, traveller, and reader.

Tel: 07876 711708

Email: david@spg.uk.com

David Barton Solicitor Advocate Ltd

Flagstones • High Halden Road • Ashford Kent • TN27 8JG

SARAH AUSTIN

Chair of Conduct Committee

Sarah Austin is a Sole Principal of her own Lexcel accredited firm, a serial volunteer, and a contributor. Currently, she is a member of the Judicial Appointments Advisory Group, considering selection exercises for fairness and accessibility. She has authored articles, contributed to consultations, committees, boards and working parties, addressing inclusion, social mobility and governance. In addition, she holds statutory appointments for a number of Councils, as their Independent Person, dealing with complaints brought against parish, town and county councillors.

Tel: 0800 377 7716

Email: sarah@spg.uk.com

Austin Solicitors

Building 3, Chiswick Park • 566 Chiswick High Road • Chiswick • London • W4 5YA

HAMISH McNAIR

SRA Liaison Lead

Hamish is based in Fulham, London. Having initially specialised in copyright and trade mark work, both in the City and New York City, his practice now includes conveyancing, wills trusts and probate, as well as litigation. Married with three children, when Hamish is not at work he enjoys open-air swimming, sailing, overnight bike rides, and has a passion for the theatre.

Tel: 020 7371 7896 / 020 7371 7988

Email: hamish@spg.uk.com

McNair & Co

EBC House • Ranelagh Gardens • London • SW6 3PA

MOSES AJAYI

Solicitor

Moses was admitted as a Barrister and Solicitor of the Supreme Court of Nigeria in 1987. He has also a qualified solicitor in England and Wales. Moses specialises in Human Rights and Immigration, general civil and criminal matters. Outside work he enjoys sailing and has participated in many sailing events around the world. He also enjoys discovering new places and spending time with his family.

Tel: 020 7733 6506

Email: moses@spg.uk.com

Slade & Fletcher Solicitors

Highland House • 165 The Broadway Wimbledon • London • SW19 1NE

CHAMAN LAL BALU

Solicitor

Having qualified as a solicitor in India in 1983, after settling in England and running a grocery shop, I found myself wanting to go back to what I had studied so hard for at Punjab University Chandigarh. In 1993, I joined Staffordshire University Law School. In 1996 I completed my CPE, it took a further few years before I found a firm that would give me the opportunity to complete my articles and I qualified as a solicitor in 2004. I finally became selfemployed in 2005, and since then, I have gone on to expand the firm, this has also enabled me to allow other solicitors to train with CLB Lawyers. Our main areas of work are Residential Conveyancing, Wills, Probate, Commercial Property leases, buying and selling Business, our work is all private client based.

Tel: 01384 451731

Email: chaman@spg.uk.com

CLB Lawyers

208 Wolverhampton Street • Dudley • DY1 1ED

JEET BAMRAH

Solicitor

Having worked as a legal secretary for a prestigious law firm in Nairobi, Kenya, in 1975 Jeet moved to the UK where she assisted her husband in their

Aviation business. In 1993 she decided to pursue her aspirations and commenced her journey into law. In 1997 she was awarded ‘The Kent Law Society’ award for a publication on Small Busineses. Jeet was admitted as a solicitor in 1999 and in July 2008 she set up as a Sole Practitioner, specialising in Clinical Negligence and Catastrophic Injury cases involving not just medical claims, but Road Accidents, Workplace Accidents and Public and Product Liability claims and other complex injury claims. Jeet works tirelessly, but she also makes time for pleasure, such as cooking, fine dining, travelling, music, theatre, and loves family time with her three children and grandchildren.

Tel: 020 8290 6787

Email: jeet@spg.uk.com

Falcon Legal Solicitors

41 Hayesford Park Drive • Bromley • Kent • BR2 9DA

NAZMIN CHOUDHURY

Solicitor

Nazmin was born in London, but is of Bangladeshi heritage, and is one of the first to attain a law degree in her generation from that heritage. After qualifying in 1992 and working for renowned firms, Nazmin set up her own practice NC Law in 2010, which deals with conveyancing, commercial and residential, all aspects of civil litigation and wills and probate. Nazmin is zealous about the rights of Sole Practitioners, especially the exclusion of Sole Practitioners on many lenders panels. Nazmin is married with three children, and is passionate about travel, women’s rights and her heritage in Bangladesh.

Tel: 020 8879 9400

F: 020 8879 1382

Email: nazmin@spg.uk.com

NC Law Solicitors

384 Garratt Lane • London • SW18 4HP

ADJOA DJAN-KROFA

Solicitor

Adjoa Djan-Krofa qualified as a solicitor in 2006 and spent her early years working at large and medium sized practices in Brixton, London. She founded Pishon Gold Solicitors in April 2012 after the birth of her youngest son to work flexibly around her children. Pishon Gold Solicitors has grown into a boutique multi-disciplinary firm based at Chislehurst, LB of Bromley providing specialist advice to families, individuals, and local businesses. A modern firm built on traditional values of integrity and trust. Adjoa Djan-Krofa, specialises in Conveyancing, Wills and Probate. Adjoa is married to Richard and runs a free taxi service for their 3 sons. In her spare time, she walks, runs, reads, travels, and enjoys gardening.

Tel: 020 8468 1032

Email: adjoa@spg,uk.com

Pishon Gold Solicitors

1 Bromley Lane • Chislehurst • BR7 6LH

KEM MASINBO-AMOBI Solicitor

Kem qualified as a solicitor in November 2002 and has extensive commercial experience gained in demanding and challenging environments. Kem has spent time at some of the most prestigious legal firms in Suffolk and Norfolk. A keen gardener, Kem has completed the RHS Level 2 Certificate in Horticulture and other hobbies include reading, travelling and cooking in true “Nigella” fashion.

Tel: 01473 760 046

F: 01473 760 058

Email: kem@spg.uk.com

KMA Solicitors, Pishon Gold House • 12 Old Foundry Road Ipswich • Suffolk • IP4 2AS

ANDREW OSADEBE

Solicitor

Andrew was first called to the Nigerian Bar in May 1990 after qualifying. He practiced extensively as a Barrister & Solicitor in Nigeria before relocating to the United Kingdom in 1997. He has worked at several law firms as a Human right proponent before he qualified as a Solicitor in England and Wales in 2007. Andrew is highly organized and motivated, and describes his goal as achieving excellent results for clients. He has been a sole practitioner since 2008. He specialises in Conveyancing, Matrimonial and Immigration law. Andrew is a family man with 3 children. He loves jogging, gardening and listening to music in his spare time.

Tel: 020 7582 55743

Email: andrew@spg.uk.com

Zuriel Solicitors

290, Holloway Road

London • N7 6NJ

TAHIRA SHAFFI

Solicitor

Tahira has been qualified for 20 years and started as a sole practitioner in 2010 after being made redundant. Working on your own can be a lonely experience but she has found the SPG to be wonderful source of support and friendship. It is important for her that there is an independent body outside of the Law Society working hard to look after its members interests. Tahira is based in Bury, Greater Manchester where she lives with her family. She has many interests outside of the law. Tahira was previously an LEA school governor and has stood as a candidate in the local elections. She is passionate about civic duty and putting something back into the community.

Tel: 0161 222 6092

Email: tahira@spg.uk.com

Mikhael Law

197 Rochdale Road • Bury • Lancs • Bl9 7BB

SPG Annual Conference 2023 Change in a Changing Profession

Save the date!

Following the tremendous success of our 2022 conference, the SPG are excited, and delighted to announce this year’s Annual ConferenceChange in a Changing Profession, to be held in Vienna. More information to follow……….

The legal landscape is recovering from Covid and going through the cost-of-living crisis. The profession is fast changing and There is no option but to adapt. The annual SPG conference will give you the opportunity to take away golden nuggets to help you change and sustain your practice through these turbulent times.

The conference is set in the historic town of Vienna where you will have the opportunity to share your experiences and learn in a relaxed atmosphere. While still having the opportunity to enjoy the culture and heritage of Austria with your family.

Health & Wellbeing

Welcome to the New Year

If you do take a moment to focus on things that you would like to achieve in the coming year, it is important not to put too much pressure on yourself. Set your goals for the new year and make sure they are measurable and achievable. Anything from last year that was not done can go on the list, or not, if it is not important. The aim is to recognise that you do not need to do everything.

As we step into the new year a little older and hopefully wiser, we should use everything we have to take care of ourselves, our families and our work.

Celebrate yourself and be deliberate about it. Let this be a normal thing which follows any achievement large or small. It is about taking time to acknowledge something positive you have done and to encourage you to keep on going. Reward yourself with breaks, buy yourself a present or simply take time to relax. This is an investment in you…

Physical Activity

Being active is not only great for your physical health and fitness but can also improve your mental wellbeing.

It doesn’t have to be a chore - consider taking the stairs instead of using a lift, taking a fitness class, getting off the bus earlier than your usual stop to walk the remainder of your journey, or signing up for a dance class with friends.

Eating Better and Drinking less

Having a balanced diet is an important part of maintaining good health and can help you feel your best. A healthy diet will have positive effects on both your physical health and mental wellbeing. This also means eating in the right proportions to achieve and maintain a healthy body weight. Drink less and track your drinking with apps and learn simple and practical tips to help you control your drinking habits.

Connect with others

Good interpersonal relationships with your

family, friends, and a broader community, are critical for mental wellbeing. The development of stronger, broader social connections can increase your feelings of happiness and selfworth, so make the effort to spend time with others and participate in activities with them. It may be as simple as stepping out for an evening walk with a friend, getting a coffee with them or visiting the shops together.

Quality Sleep

Good-quality sleep makes a significant difference to how we feel, mentally and physically, so it's important to get enough. If you're having trouble sleeping, there are simple steps you can take to improve your sleep by getting into a daily bedtime routine and ease those restless nights.

Remember to listen to your body and do what makes you feel good. Feeling good is important and vital for your wellbeing.

Dorcas Falode, SPG Vice Chair & Head of Health & Wellbeing

Reflect on the past year and start the year with a focus on your health and wellbeing. Getting more active, eating better, drinking less, connecting with others and getting enough quality sleep are a few ways through which we can lead a long, healthy and more meaningful life.

Solicitors, Drink Driving and the Need for a Consistent Fair Approach

This is an area which continues to cause difficulty, despite its apparent straightforward nature. I have long advocated the need for the SRA to take a more discerning and informed approach than it frequently does. Whilst the Magistrates Courts which sentence convicted solicitors take account of all mitigating factors when handing down a sentence, the SRA is often less inclined to do so, and this can lead to unfair professional decisions.

On 7 February 2019, the SRA published a “Topic Guide” titled “Driving with Excess Alcohol Convictions”, which is to be read in conjunction with both its guidance on the approach to criminal convictions outside of practice, and its enforcement strategy with particular regard to the obligation to uphold the rule of law and the proper administration of justice, enshrined in Principle 1.

Approximately 85,000 people are convicted of drink driving related offences each year in England and Wales, and some of them are solicitors. One only has to look at the SRA website to see recent Regulatory Settlement Agreements made following convictions. They range from rebukes to fines, and it is not easy to understand why one offence leads to a rebuke and another to a significant fine.

My recent experience is that such convictions, not infrequently, have significant professional consequences beyond whatever the Magistrates’ Court sentence may be. The Topic Guide states at the outset that the SRA’s role in dealing with reports of such convictions is not to duplicate the criminal process or to punish a person twice for the same offence, but my experience of such SRA investigations is that they do effectively reinvestigate and almost

without exception have a standard approach to sanction which can take the overall punishment to a different level altogether.

These offences are nearly always committed in private time, and so the issue for the regulator is how they impact professionally.

Very few such prosecutions are reported in the press. Court reporters are rarely seen these days in Magistrates Courts. The issue is whether the offence is sufficiently serious to engage and breach any of the “Principles.” Should all drink drive cases be dealt with in the same way? The SRA seems to say “yes.” The default position is that irrespective of the circumstances, it warrants a sanction sometimes with a fine and always with costs. Public confidence says the SRA is damaged when solicitors are convicted of drink driving whether deliberate, careless or inadvertent.

The same approach should apply to drug driving as both are strict liability offences.

Investigation Officers in cases I have dealt with say that drink drive convictions have for many years engaged rules of professional conduct, but this is not so. Indeed, as they are all summary only offences of strict liability there has long

been uncertainty over whether convictions have required reporting. In reality they do require reporting. Guidance published in 2019 was ambiguous. It states that it applies “to convictions for driving with excess alcohol and may also apply to offences of driving under the influence of drugs.” It is difficult to understand why it only “may” apply to driving whilst under the influence of drugs. Why would it not? As long ago as March 2015 legislation came into force creating offences of driving with illegal and legal drugs over prescribed levels, effectively aligning drug and drink drive offences. One would have thought that in 2019 it would have been possible to create a guide to the profession that addressed simply and clearly the offences to which it applied.

The following is a list of common drink and drug drive offences:

n Driving on a road or public place with alcohol or drugs over the prescribed limit:

n Being in charge of a vehicle whilst over the drink or drug limit.

n Failing without reasonable excuse to provide a sample of breath, blood or urine for analysis.

All such offences are dealt with in Magistrates’ Courts and, with the exception of charges of failure to provide samples which are more complicated, are offences of strict liability. It doesn’t matter if you didn’t know you were over the limit. In my experience many drink and drug drive offences are committed by people who did not know they were over the legal limit (should have known is a different issue). State of mind is only a mitigating factor and is not a defence. The morning after effect of alcohol consumption can be greater than people realise. Some drugs remain in the body long after consumption. It is possible to overdose legal drugs.

The 85,000 convicted each year will come from a complete range of the public we serve. The solicitors’ profession reflects that, along with all its ability to make human mistakes. I believe the public understands this.

SRA investigations start by letter and a recent one said this:

“Our role is to set, promote and secure in the public interest standards of behaviour and professional performance necessary to ensure clients receive a good standard of service and the rule of law is upheld.”

This set the tone for the start of an investigation into a first offence of drink driving with no aggravating features resulting in a minimum 12 month disqualification following a guilty plea. One might be forgiven for thinking that the SRA was embarking on an exercise to examine a far more serious criminal offence. How, I wondered, does a drink drive conviction like this one impact on the standard of client service?

This exemplifies the first problem which is that Investigation Officers take different styles of approach, and propose different outcomes, even on the same investigation. In one, the investigation went through three officers as they either left the SRA or moved departments and the last to pick it up took a quite different approach to the others. Some Officers require the production of information that borders on a complete reinvestigation of everything leading to the commission of the offence. I have encountered one or two examples of an explanation being required as to why a roadside breath sample was not provided even though police did not make this the subject of a charge. In one such case the solicitor was a motorcyclist who had come off his bike and was physically unable to provide breath.

Otherwise, questions can be quite low key and simply want to know the date of the offence, level of alcohol, sentence imposed by the court and whether there were any aggravating features. Such convictions rarely have complicated facts.

The SRA web site shows some are fined, some are rebuked, all pay costs, and nearly all are made public. It is difficult to see what facts lead to a fine or rebuke and from the ones I see it seems to be down to the approach of the individual Officer.

Publication causes further difficulty because the presumption is in favour of publication. I have been successful on only a few occasions in persuading SRA not to publish on grounds that doing so will cause damage to the solicitor’s family, or damage to a solicitor recovering from alcoholism which weighs against the public interest in knowing what a solicitor has done.

The SRA is always in a strong position because costs and anxiety rapidly escalate, and quickly reaching an agreement will confine these. Many solicitors have to be pragmatic.

The second difficulty I find is that the SRA frequently takes a one style approach to sanction irrespective of the actual circumstances of the offence or the offender. Let me make clear I

completely understand the need to deal robustly with solicitors who are serial offenders or who commit serious drink or drug drive offences with high levels and with significant aggravating features and who may receive custodial sentences. However, the examples I regularly see are at the other end of the spectrum and yet the SRA takes a standard approach from which it will not move, apparently on grounds of consistency.

But what about offences that are completely accidental and with low levels of alcohol?

The 2019 Guide for Drink Drive convictions tells us that the presence of strong mitigating features combined with a lack of aggravating features is likely to result in either a warning or a rebuke. The default position I see is a rebuke with or without a fine in an RSA to be published. I have one example of such a position being presented as take it or leave it and risk an Adjudicator increasing the sanction and costs or even referring to SDT. I have yet to see a warning being deployed in even the most straightforward and low level of drink drive offences.

I find other regulatory bodies are more willing to look at individual circumstances. I have represented many doctors and accountants in drink drive prosecutions and their respective regulators approach convictions quite differently. They can impact professionally if serious enough, but the SRA invariably presents the offender with a draft RSA as a default position.

The publicity can be a real sting, particularly if it leads to employment difficulties. The SRA appears inflexible, and this does sometimes cause real hardship. Regulatory Decisions are being made in some circumstances where they are not warranted.

The SRA does need to be able to see that not all such offences require professional punishment on top of the criminal sentence. The public understands errors. They do not necessarily impact on a solicitor’s ability to do his/her job or to provide a service. They do not demonstrate a failure to uphold the rule of law. We are not expected to be paragons of virtue.

We are just human after all.

David Barton is a Solicitor Advocate specialising, advising and representing solicitors and law firms. He can be found at: www.solicitors-disciplinary-advice.co.uk.

‘‘

THE PUBLICITY CAN BE A REAL STING, PARTICULARLY IF IT LEADS TO EMPLOYMENT DIFFICULTIES. THE SRA APPEARS INFLEXIBLE, AND THIS DOES SOMETIMES CAUSE REAL HARDSHIP

‘‘

VERY FEW SUCH PROSECUTIONS ARE REPORTED IN THE PRESS. COURT REPORTERS ARE RARELY SEEN THESE DAYS IN MAGISTRATES COURTS

Burnout Prevention;

When you think back to starting out as a sole practitioner, what motivated you?

Was it the desire to do things on your own terms, to not deal with the friction and noise of a big firm with rigid rules? Perhaps it was so you could work with less clients and feel better compensated for your time and expertise. Maybe the change was so you could have a better work-life balance and not need to ask for a half day’s holiday to deal with your children’s illness or to take the dog to the vet.

If you look back over 2022, how did the year match up to those goals? Did you end the year feeling energised, engaged, proud of your work; or did you feel exhausted, unproductive and beginning to wonder if it was worth it?

If you fall into the latter camp, you are far from alone.

Play What is Burnout?

The World Health Organization defines burnout as an occupational phenomenon that arises as a result of chronic workplace stress that is not successfully managed. It has 3 key dimensions.

● Exhaustion and depletion

● Negativity, cynicism and increased mental distance from one’s work, and

● Reduced professional efficacy

Or as I described it above, ‘feeling exhausted, unproductive and beginning to wonder if it was worth it.’ Burnout is a much lower threshold than you might think.

Play Why are lawyers at risk of burnout?

Lawyers are at significant risk of burnout for a number of reasons; we feel a keen sense of responsibility (backed up by significant regulation!) and are often perfectionists and

overachievers. The nature of our work means interacting with people at some of the most difficult times in their lives, soaking up their stressors whilst trying to maintain our own professionalism. As for ‘chronic workplace stress that’s not successfully managed;’ when was the last time your to do list was completed, with nothing hanging over your head and no interruptions on a day off?

able to work, needing medication or having to quit their job; but this really isn’t the case.

I cannot count the number of times I have been approached by a potential client with the words ‘I don’t think I’m burned out yet, but I am feeling exhausted and I’m struggling to keep up with my work, which is affecting how I feel about the job.’ What follows is an awkward yet ultimately relieving conversation about the nature and impact of burnout; that burnout is not an end point or getting to a state of non-functionality.

Habitualised burnout, a state of living in fatigue, struggle and feeling less and less engaged with one’s work is far more common than you might think and can go on for years, decades even, without your ever breaking down fully.

Play What is the impact of burnout? Burnout impacts your productivity; this means a reduction in the amount of work you can produce and bill, how profitable that work is; how often have you written off time because you think you should have been more efficient?

If this is all feeling a little too familiar, you are not alone. In 2022 Deloitte found that 77% of workers had experienced burnout in their current job, and in 2021 LawCare’s Life in the Law study found the average lawyer to be at high risk of burnout, scoring particularly high for exhaustion.

Play What does burnout really look like?

Whilst the symptoms of burnout can feel all-too familiar, one of the most common misconceptions is around what it means to be burned out. In training sessions delegates tell me they think burnout means being signed off sick, not being

Deloitte estimate that presenteeism, being present yet ineffective or inefficient at work, to cost UK employers in the region of £35billion each year and it’s the single largest cost of poor mental health to employers, equalling the cost of employee turnover and absenteeism altogether. Having been both an employed lawyer and a self-employed coach and trainer, I believe those figures to be broadly similar in self-employed life (but perhaps we feel the pressure of our presenteeism even more keenly?)

Then there is the cost of keeping up with burnout, otherwise known as maladaptive coping mechanisms. These are things we do to keep us functional, without fixing the deeper

or how to be healthier, happier and perhaps even more profitable in 2023

‘‘

I THINK IT’S IMPORTANT TO KNOW THAT BURNOUT IS NOT A MATTER OF PERSONAL FAILING, A LACK OF RESILIENCE OR AN INABILITY TO DO THE JOB; IN FACT, THE OPPOSITE IS OFTEN TRUE

issue; the extra cup of coffee to keep us going, the wine to help us relax at the end of the day, the holidays needed to help reset, the small treats to reward ourselves, improve our mood or make up for having been difficult at home…!

Play How can burnout be prevented?

I think it’s important to know that burnout is not a matter of personal failing, a lack of resilience or an inability to do the job; in fact, the opposite is often true. I argue that burnout happens to brilliant, bright professionals who care deeply about doing a good job and often go above and beyond – helping others before themselves. In the Deloitte study I referred to earlier, whilst 77% of workers had experienced burnout in their current job, 87% of those people still had passion for their work. It’s often that engagement that keeps us coming back time and again.

Burnout symptoms are manageable and even reversible without needing to stop working, go back to employment or giving it all up to live on a beach somewhere (unless you really want to!)

Remember that burnout arises as a result of chronic workplace stress that’s not successfully managed; if we can manage the stressors coming in and more effectively manage their impact, burnout symptoms can reduce.

Play The buffet plate

Often our to-do lists look a bit like a plate that’s been overfilled at the buffet; stacked with stuff

we don’t have room for and didn’t even really like to begin with, with the good stuff hiding at the bottom. What can be taken off your plate; the to-do list equivalent of brussels sprouts, what are the things on there because you think they ought to be done, rather than needing to be done. What in there is good but you’ve taken on too much of it to fit in (every type of potato!), versus the stuff you really wanted and enjoy but haven’t left room for?

Play Sharing the load

Self-employed life is brilliant, but it can also be lonely. Who do you share the bad news with as well as the good, or are you the person that everyone else comes to for support but struggle on alone? Therapists are required to have their own therapy and supervision, vicars have mentors and peer supervision, but who do sole practitioners share the stress of PII renewals, difficult clients or bad technology days with? I firmly believe that all lawyers need, deserve and do their best work when they have the ability to offload, to defuse difficult emotions and not deal with the strains alone. This goes double for any sole practitioner; it isn’t a sign of weakness

to get support, it’s about building long term resilience and sustainability to do your best work.

Play 3 questions

Finally, here’s the 3 questions I ask every client to consider at the end of their working day; what went well, what didn’t go so well, and what one thing do you want to improve tomorrow? As lawyers we are often so caught up in the big picture of files, billing and getting results that we miss the smaller yet incredibly rewarding work; the thank you from a client, the conversation you were dreading that ultimately went well, or the recognition of your growth, development and expertise. If we can get into a pattern of noticing the wins, identifying issues earlier and iteratively changing and developing, we have a better chance at managing and reversing burnout, and living a healthier, happier and more profitable working life for the long term.

Leah Steele is a former solicitor turned coach, trainer and consultant working with both private individuals and law firms to help them build sustainable working practices. Her key focuses are burnout prevention, understanding imposter syndrome and building effective resilience, to help brilliant professionals do their work better, without it feeling like a form of self-harm. Follow her on LinkedIn or find out more about her work at www.searchingforserenity.co.uk

Changes within the SPG Executive Committee

It was a day of changes on 16 January 2023 at SPG Committee’s last meeting at Lockton’s offices in London.

After 6 years’ dedicated service to the Group as Honorary Treasurer Kem Masinbo-Amobi resigned as Treasurer. On behalf of the SPG Committee I express a heartfelt thank you to her for her time consuming work, her wisdom and prudence. Being Treasurer of an organisation like ours is no easy task with different interests to balance and reconcile and Kem always sought to discharge her responsibilities straightforwardly and with good humour. We wish her well.

It is with regret that during the days following the meeting Lubna Shuja, President of the Law Society of England and Wales, and Sushila Abraham resigned from the Committee.

Lubna served on the Group Committee for 16 years, is a former Chair, and remains a strong supporter of sole practitioners.

Sushila joined the Committee in 2000 and has been a loyal and staunch supporter of sole practitioners. Sushila was the first BAME Chairman of the Group and successfully encouraged others to follow. She organised a number

of Conferences up until 2015, in particular the first abroad in Paris attended by almost 350 delegates. At the same time, she forged relationships with bodies such as SRA and LeO which the Group continues to benefit from.

On behalf of the Committee I extend a big thank you and good wishes to both.

Penny Raby succeeds as the Group’s new Honorary Treasurer. Penny has been a part of the Committee for many years and as a former Chair has an excellent understanding of how the Group works.

There are also three new Interim Officers.

Kemi Mosaku is the Group’s new Diversion and Inclusion Officer and Sukhjit Ahluwalia is the newly appointed Marketing Officer and Conference Organiser. Rahil Chaudhuri is our new Regional and Association Groups Officer.

David Barton Editor

Kem Masinbo-Amobi

Members’ Articles

Recently we asked our members if they would like to submit articles of their own choosing to be included in the Solo magazine as we would like to increase engagement with and between our members. Below are a few of the articles received.

Please note that the comments and views contained in these articles are not those of the SPG, but of the individual author.

If you would like to submit an article or comment on any of the articles in Solo, you are welcome to do so. Your submission should be kept to around 600/800 words and the topic would be of your choice. It could be about the area of law you practice in, something interesting you have read, that you would like to share with your fellow members, or a change in the law that you have an opinion on.

You will appreciate that, depending on the number of articles we receive, we cannot guarantee that your article will be included in the next edition. All articles submitted, will be sent to the Editor, who will choose the articles for each edition.

Please send all submissions to info@spg.uk.com

Pension schemes and inheritance and other tax on death

Tax and pension schemes registered under Finance Act 2004

The main inducements that can lead to the tax tail wagging the pension dog are (1) tax relief on contributions by members and employers, (2) the exemption from income and capital gains tax on the investment returns of pension funds, and (3) tax-free lump sums. In addition to the popular so-called 25% tax-free lump sum on pension commencement, there are lump sums payable on a member’s death which are free of inheritance tax (“IHT”).

There is no general IHT exemption for pension schemes but a number of specific ones, which means that, in most “normal” cases, no IHT is payable on the death of a member of a registered pension scheme. Age 75 however is a tax watershed.

A “chargeable transfer” is a transfer of value, which is made by an individual but is not an exempt transfer: ITA 1984 s2. Exempt transfers include transfers between spouses and civil partners, annual £3,000 exemption, small gifts, normal expenditure out of income and gifts to registered charities and sports clubs.

Amongst the specific reliefs from IHT in respect of pension schemes are that (1) contributions paid to pension schemes are not transfers of value, (2) property held for the purposes of a registered pension scheme is not relevant property, so it will not be subject to the tax payable every ten years on a discretionary trust or on distribution of capital and (3) property applied at the discretion of the trustees to pay a lump sum on the death of a member, including a payment, usually insured, on death in service, is not relevant property, if it is paid within two years from the day on which the death was first known by the trustees or ought reasonably to have been known by them.

IHT does apply however if a member has a “general power” to dispose of property, which includes power to direct pension scheme trustees how to dispose of it, when he is treated as beneficially entitled to it.

Contributions paid within two years of the member’s death while he was in ill-health and unlikely to survive to take some or all of his benefits, and so increasing the death benefits

payable outside his estate, are treated as transfers of value and subject to IHT.

Age 75

Four main consequences of attaining age 75 are that (1) no tax relief is available on contribution to the scheme, (2) the pension fund is tested against the member’s lifetime allowance, (3) the payment of a serious ill-health lump sum becomes liable to income tax, and (4) either (a) a special lump sum death benefit charge of 45% on the payment of death benefits to a non-qualifying person (not an individual or if an individual is a trustee etc) or (b) income tax if paid to a qualifying person.

Roderick Ramage

BSc (Econ), Solicitor

Roderick Ramage specialises in pension law (and also some charity law) at www.law-office.co.uk

This note is dangerously simplified and is not advice in any circumstances. My bare bones summary of pension tax in Tolley’s Tax Planning takes 25 pages, so the 466 words here merely touches a couple of topics.

Judges and Ministers versus The People

There is a complete failure on all sides to recognise that both Judges and Ministers and MPs have been busy encroaching on the proper rights of the People.

So far as Judges are concerned, the representatives of the People that they have been encroaching upon over the last 50 years in various “reforms” to legal practice (in particular Civil Litigation), is on the rights of the People assembled as a Jury.

Just as still in most cases in America that appear before the courts, the Juries decide what the outcome will be whether it is a criminal or a civil matter, so also from “time immemorial,” until recently, have Juries decided on cases in England.

In times past, Juries would typically be the sort of people who would have had the vote in the days of the property qualification. To some extent, that approach lasted up until the late 1960s when only rate payers could be called up for Jury Service.

But it is worth remembering that it was juries which exercised a very important brake on the growth of State power and of misbehaviour by politicians and State employees and the judiciary itself. They also exercised a brake on how over complicated the law could become.

Before the Second World War most civil cases were dealt with by a Judge and Jury, with the Judge deciding legal points and the Jury deciding all the findings of fact and often deciding the damages to be awarded as well. This meant that the law couldn’t get beyond the point of complexity that a Jury could sensibly understand what was at stake. It also meant that Judges and, for that matter Barristers, had to be much better at explaining their arguments, otherwise the Jury would not necessarily understand what was being spoken about.

Criticism (by Lawyers) is that Juries are unpredictable and that they tend to decide

which of the parties to a case they like and that they focus on that rather than on dry legal points.

It is however a myth to imagine that Judges are very much more predictable than Juries. Judges are rather more inclined to think that they know what is going on, but that means that they are quite likely to leap to conclusions, rather than to listen carefully to what comes before them. Also, in particular, Judges over complicate the decision-making process. Once upon a time there might only have been two or three points of principle to consider. Now there might be a dozen or more in a typical case. So, it is very difficult to predict, even for a lawyer in any complicated case, which of the points of principle the Judge will decide is decisive. Therefore, it is often just as hard to predict the outcome of a case before a Judge, as it would have been with a Jury.

The Law has been becoming ever more difficult to understand. The original idea of the Rule of Law (which is that citizens can know where they stand, viz a viz State and each other) gets ever more lost sight of in a fog of complexity and bureaucratic rule making. Add to that mix a toxic brew of political interference and faddist “reforms” and a legislature that thinks it is okay to produce in excess of 20,000 pages of new legislation every year! No wonder nobody now knows what the Law is, without spending time looking it up! Often quite a lot of time!

The other point that is

lost with the decline of the position of the Jury is keeping the Law in line with common sense.

Looking outside of England it is worth noting that Law is often not the friend of Liberty. A perhaps extreme, but nevertheless true example of that is that most things that Hitler did as Führer were legal! Whether he could have got an English jury to have upheld his actions is worth a moments reflection.

Most of the more questionable offences which buttress multi-culturalism are magistrates only offences – that is not an accident! If you are up before a District Judge there will be no application of common sense, or of justice, just of State Law!

Rather than tinkering with a legal rule here or there I would say what we really need is a massive reinjection of Juries into legal practice, but with the proviso that those eligible to sit on juries needs some serious pruning.

Robin Tilbrooke

Consultants in the Law - Are you satisfied the way you are operating is legal?

You’ve probably heard of cases reported on the radio or in the news in relation to groups of workers such as Uber taxi drivers, Deliveroo riders or Pimlico Plumbers and whether or not the individuals concerned qualify for benefits such as holiday pay, giving little thought as to how these issues might affect your own legal practice.

The “consultant” model has long been used in firms to engage perhaps those who are working towards retirement or for whom employment or partnership is not preferred but this model has to be reviewed in terms of how it sits with the current legal position as regards tax and employment law.

The first really critical point to make is that just because the parties decide to describe somebody’s status as that of self-employed consultant in the paperwork that they put in place to govern the relationship does not mean that HMRC or a Judge would agree. Rather, focus is going to be on how the relationship operates in real life rather than the paper.

The first question that will be asked is whether or not an individual has to personally undertake to do work. If they don’t, then no employment or worker relationship will be found. This would be the case when you outsource something to another firm, and they are agreeing to service the work rather than provide you with an individual.

Assuming you wish the consultant to carry out the work for you personally, the second question that will then be asked is whether or not your firm is a client or customer of the consultant, for an undertaking that the individual is carrying out. If the consultant is genuinely in business on their own account and works for a number of different firms, providing their services to each as a client or customer then it is clear that the consultant will be self-employed. However, most relationships don’t operate that way, with most firms wanting their consultants to enter into an exclusive relationship, and the consultant does not have other customers or clients, so they are not likely to be deemed as self-employed at law or for tax purposes.

The next test that will be applied is whether or not there is “mutuality of obligation” which means that the consultant has to do work when

it’s offered to them. If the consultant can pick and choose then it may be that they are not genuinely self-employed, but they are a “worker” for the purposes of certain legislation, such as the Working Time Regulations 1998 as regards the provision of holiday pay.

A penultimate question that will then be asked is the extent to which the firm has control over the consultant. So, for example, if the consultant can choose his or her days of work, hours of work, place of work and the service they provide then again, they may well be a worker rather than employee. However, if the firm requires the consultant to provide the services during business hours, in accordance with protocols and from their office, then it’s going to suggest to any Judge that the level of control is consistent with employment rather than anything else.

The final question is then the extent to which the person is integrated into the firm. Clearly, the more integrated they are, the more likely they are to be found to be an employee rather than a worker. For example, this might be an appearance on the website, appearance in marketing materials, having a firm business card, a firm social media handle and practical day to day issues such as carrying a swipe card or keys to enter the building, inclusion in social activities such as the Christmas party and being treated like an employee when it comes to issues such as access to the IT system and a firm email address and issues such as appraisals, inclusion on circulation lists for team notifications and seeking to discipline the consultant if there is an issue. Those things would suggest employment, rather than anything else.

The economic reality is also a very important factor here – if the firm is, for example, paying the individual’s professional indemnity insurance and the individual is not contributing to the costs of running their desk, and when they are paid in respect of fee earning work the individual

concerned is not subject to any financial risk then the picture would be consistent with employment. However, if the individual has to pay their own way in all regards, and they get to earn commission and fees once costs have been accounted for, and there is a measure of risk in the sense that if the work is not done well the individual has to correct at their own cost, then the possibility of worker status is likely to be available.

That mental flow chart that we’ve just been through, represents the current case law on the status and it has for many years been a challenge to employers who want to do things differently and more flexibly. However, placing the label “consultant” on something does not guarantee that the person would not be found to be an employee. Often, it is at the breakdown of the relationship point that the issue emerges, i.e. the parties may have operated very happily with an individual paying their own tax for many years until the relationship is ended by the firm and then the individual will typically claim that they have been employed and therefore unfairly dismissed or that they should have received statutory redundancy pay.

Things get further complicated if the individual provides their services to you via a personal services company – think Joe Bloggs providing his services via Joe Bloggs Ltd. Many firms will fall in the ‘Small Company Exemption’ depending on turnover, size, number of employees, so they don’t have to think about the IR35 regime and the off payroll working rules but HRMRC’s check status tool is still useful to determine how HMRC would view the relationship.

Refreshing Law specialises in advising firms to consider whether their method of operating works for the level of risk that the organisation is prepared to take.

Anna Denton-Jones

Men’s mental health in the legal profession

LawCare is the mental wellbeing charity for the legal profession. We recently identified that a significant majority (approximately 65%) of the people using our support services were female, with only 35% being male. This prompted us to ask why male legal professionals aren't talking to us about their mental health.

We organised an all-male focus group to better understand why men in law don’t speak up about their mental health, here is what we found:

Play Wanting to be strong and perfect

There is a challenge of being both a man and a lawyer. As men, there is still a palpable expectation that they should be strong, not display vulnerability, and be able to shoulder the burden of personal problems by themselves.

In addition, working as a lawyer adds further pressure to this sense of needing to appear perfect to the outside world – the perception that lawyers need to have all the answers. This perception, combined with the expectations men experience, can make it very difficult to reach out for help.

One member of the focus group suggested that we need to redefine what ‘manliness’ requires. It shouldn’t be about downing seven shots of whiskey to prove how much of a man you are or working yourself towards a state of burnout.

Play Working long hours

There was a consensus that lawyers tend to take on more work than they have time for – leaving many of them feeling overstretched most of the time. Lawyers consistently work long hours to demonstrate their commitment to the profession or their organisation. This culture can amplify the issues that men face when it comes to talking about their mental health.

Play Uncertainty about opening up

Men can also be uncertain about opening up about a mental health issue at work, or even acknowledging to themselves that they have an issue.

Men in the legal profession, at all stages in their careers, may worry that seeking help will negatively impact their career and affect their family’s welfare. They might worry about whether ‘the whole thing is going to crumble;’ or if they (and/or their career) fall apart, what will happen to their family and who will support them?

Play Emotional competence

Another barrier that can prevent men from reaching out for help is that some men don’t have the emotional vocabulary to understand or express their experiences effectively. One focus group member reflected on the fact that he had spent most of his life telling people what he thought, but very much struggled to talk about how he felt.

Play Finding support

Many men don’t know where to go to seek support, particularly if they don’t

want to talk about their mental health at work. They may find it difficult to talk to their family, partner or colleagues or access formal support that may be offered in the workplace. They can find it hard to let their guard down and be honest about how they are feeling but ignoring problems and burying yourself in work just to get through it can be counterproductive and lead to burnout and exhaustion.

You can contact LawCare about anything that is concerning you. Our support is free and confidential, and you don’t have to give your name. We have 25 years of experience in supporting the legal community and everyone who provides support has worked in the law; we really do understand life in the law and all its challenges.

Contact LawCare on 0800 279 6888, email support@lawcare.org.uk or access online chat and other resources at www.lawcare.org.uk

You can also read the Men’s mental health in the legal profession report.

Elizabeth Rimmer CEO of LawCare

Natural Justice and Procedural Fairness

Thankfully, the law has moved on a lot since I started in 1982, and participants can now expect open fair treatment. Indeed, if courts or other decision makers do not operate fundamental fairness their decisions are usually invalid so it’s in everyone’s interests to get it right. To fail to do so causes damage, brings the decision-making process into disrepute and can be expensive to correct. Lawyers in our jurisdiction can be proud of this. There is recourse and we can rightly deprecate those jurisdictions which operate arbitrarily where participants have little or no recourse.

The historical origins of procedural fairness and natural justice are very old and well established. Court decisions establishing basic principles date back to the mid-19th century. More recently they have become enshrined in various Articles in the ECHR. Such principles trickle down to decision makers of all levels.

It’s a truism to say that as lawyers we often have a strong sense of whether something has been done fairly or not. We know what to do when that sense of fairness is offended against. As solicitors we have a moral compass, and I think we also have a “fairness compass.”

This article gives a broad overview of these two valuable concepts. It gives meaning to what many people voice when they are in a process, whether in or outside court, in which a decision is to be made which impacts on them. In 40 years of court work I have found time and again that more than anything else people want to be treated fairly. For more than two decades I have advised and guided solicitors and other professionals through the regulatory maze, and I have done the same with those caught up in the criminal justice system. Whether it’s a regulator or the police, a disciplinary tribunal or a court, those drawn into the process want to know they will be heard and that a fair decision will be made taking into account what they have said.

There is no doubt that fairness and natural justice are fundamental rights. The right to know when a decision might be made which impacts, the subject matter and a right to be heard. Courts and others cannot put such rights aside save where statute or rules of court permit something to be done in absence and without notice (for example search warrants, freezing orders and so on where it is in the wider interests of society to make exceptions). These concepts are frequently raised at all levels of decision making at which someone’s interests are to be considered and decided upon.

What in practice do they actually mean?

A basic proposition is that procedural fairness operates to prevent a misconceived or wrong decision being made against someone by ensuring the person affected has proper notice of exactly what is being considered and when. Further, they provide a framework for redress – a reconsideration at its lowest and financial or other redress at its highest. I deal with it regularly as part of my civil and criminal work. Courts have to be scrupulous in the application of procedural fairness.

Procedural fairness is closely linked with natural justice and for practical purposes the two are

often inseparable. They feature prominently in my work with the Solicitors Regulation Authority and other regulators, and the Solicitors Disciplinary Tribunal as well as the criminal courts. Everyone caught up in the processes of these bodies has a right to know what’s being considered and to have their say. I like to see them as a kind of check on arbitrary decisions that involve prejudgment or bias, or a closed mind unopen to persuasion. More importantly they operate to require a court or other decision maker to proceed with great care to ensure the person affected has been given adequate notice of the specific subject matter and an opportunity to prepare to address it.

In the criminal courts it is possible to proceed in a defendant’s absence only if he understands that will happen if he doesn’t turn up and as long as he knows specifically of the case against him. The Criminal Procedure Rules require a defendant to specifically confirm he knows a case will go ahead if he doesn’t attend without a good reason. The SDT applies the same principles when Respondents fail to engage or attend. The Tribunal checks carefully to ensure the specific allegations and supporting evidence have been served giving proper notice and time to respond. If it is in doubt it will adjourn. Those prosecuting or investigating are called upon to show they have given proper notice. The imperative to be procedurally fair is paramount.

The SRA has promulgated many sets of rules over recent years and as it investigates it gives time to respond to allegations and evidence. Lawyers argue that sometimes time is often too short, but the basic principle is followed. Internal decisions are made not by an investigator but by an Authorised Decision Maker or Adjudicator, someone detached from the process. This avoids the appearance of bias, another closely linked concept, and separates the investigator or prosecutor from the decision maker. It is universally accepted you cannot have a decision maker with an interest in the outcome involved in making that decision. The only option is recusal.

Tribunals like the SDT take seriously a failure to disclose evidence in good time. They are after all being requested by the regulator to make decisions that affect solicitors’ lives and reputations. The criminal courts expect evidence to be relied upon by either side to be disclosed in a timely way. Participants are entitled to know the case they face and a proper opportunity to address it. To proceed otherwise offends the principle of procedural fairness.

The Investigatory stage is just as important. Letters, for example from the SRA, make clear that no decision has been made when it advances allegations and seeks information and responses. The corporate mind must remain open to persuasion. It cannot prejudge. Linked to this is the need for a clear separation between the decision maker and the subject matter. The decision maker must bring an impartial mind to the process or recuse themselves. Sometimes Magistrates will do this if a defendant is known to them or if there is a personal connection with the proceedings. They openly declare and take no part. They may well be able to make a fair decision, but the fair-minded observer may think otherwise, and this drives the inevitable decision to withdraw.

Most people have an innate sense of fairness and will instinctively know when something unfair has happened. Procedural fairness relates to the fairness of the procedure by which a decision is made, and not the fairness, in a substantive sense, of that decision. A given decision by itself may well be correct, but if the process is wrong it becomes objectionable. The Administrative Court will send cases back to lower criminal or civil courts for rehearing before a differently constituted court on such grounds.

I have started many conversations with clients who complain about being treated unfairly. Sometimes they complain the court heard but didn’t listen or treat them respectfully. Other times they say they knew nothing about proceedings or did not know a particular hearing was going to decide something significant. The unfair process often produces far more emotion than the actual decision. There is a palpable sense of grievance at not being properly involved. I have made many applications to Magistrates’ Courts who have made decisions against defendants in absence when papers containing charges had not been served in time, or at all. For my road traffic work, the first a defendant knows of an adverse decision is the receipt of a letter of conviction and even worse a letter from the DVLA suspending the ability to drive.

When such errors are drawn to the courts attention the decisions are invariably reversed, the case reopened, and a new date fixed to enable full argument to be heard.

The principles do not just apply to courts, but to administrative decision makers at all levels – sporting, social, political and so on. A sound approach is for administrative decision makers to assume that they owe a duty of procedural

fairness to a person whose interests, rights or liberties will be affected by the decision. As a consequence, there is a positive duty to afford procedural fairness, and not just to do so when asked. Decision makers must be aware of the need to do this.

A linked basic principle of procedural fairness is that a decision-maker should not judge their own case or have an interest in the outcome. A decision maker should listen to both sides of a case before making a decision. Self-evidently that requires the presence or input of the person affected. If they choose not to participate and as long as they know the precise nature of the subject matter of the proposed decision, that is a different thing altogether.

The right to defend oneself and simply to be heard is a fundamental right not to be compromised on grounds of expediency or otherwise.

David Barton is a Solicitor Advocate specialising in professional regulation and criminal road traffic work. He also specialises in advising and representing solicitors and law firms. He can be found at:

www.solicitors-disciplinary-advice.co.uk.

Ransomware Response Requires Specialist Advice

Ransomware attacks cause severe direct financial consequences. We know this, but we must also understand the potential for wider collateral damage to businesses arising from sustained, ongoing disruption. The indirect effects of an extortion event can cause longstanding, indirect (and often unforeseen) damage which has the potential to be at least as harmful as the initial event itself.

Due to the complexity of these breaches and the various consequences that may ensue, specialist ‘breach response’ advice may be required to help businesses consider all options and take the most appropriate actions.

The Law Society/NCSC statement

Recently, The Law Society of England and Wales published an article mirroring the government’s National Cyber Security Centre (NCSC) and the Information Commissioner's Office’s (ICO’s) warning about the role of solicitors paying or advising clients to pay ransoms to cyber criminals, with the message ‘[w]e do not advise members to pay ransoms, nor suggest that is what they should advise their clients.' However, adopting a singular mindset in this new and evolving digital world (which is anything but onedimensional) may not be suitable.

Ransom payments are controversial, but the payment of a ransom is in much of Europe. That said, all individuals and legal entities incorporated, located or conducting business within the EU and UK must comply with the local financial, trade and other sanctions in force.

Any payments could also be illegal if there is reasonable cause to suspect that the ransom will (or may) be used for causes connected to terrorism and is being handed over in response to a demand (s 17A Terrorism Act 2000). Complicating matters further is the fact that malicious actors in any extortion situation are usually anonymous, and their underlying aim, together with the ultimate destination of any ransom payments, is usually entirely unknown.

The ICO and NCSC have made their position clear whereby they ‘will not encourage or condone paying ransom demands to criminal organisations,’ regardless of the payment being deemed unlawful or not. The reasoning behind this stance is that by paying a ransom, a business may be incentivising criminals while, adding insult to injury, not even receiving a guarantee that any stolen data will be securely

returned. Firms also run the risk of infringing their sanctions regimes (Russia being a hot topic of discussion), which could result in further economic consequences for the business, the organisations warned. These are valid points and must be taken into consideration when evaluating and resolving a breach.

The statement, while a stark proclamation to law society members, may also come across as an inflexible ‘one size fits all’ approach.

The reality

Extortion attacks (and the effects of them) are as varied and nuanced as the businesses which are targeted. Law firms must contemplate every risk and solution that may arise from a cyber-attack. As well as the extortion demand itself, other costs to consider include loss of revenue due to the associated downtime. Ransomware attacks cost the US $159.4bn in downtime alone in 2021 based on publicly-confirmed ransomware attacks and data compiled by pro-consumer website Comparitech.

While these risks are not something a law firm need typically consider, the point also has validity in the context of legal business; if court and/or commercial deadlines are not met, the indirect implications to the firm, its clients and/or third parties, could indeed be significant.

Prevention is part of the cure

One thing that is evident is the necessity to resolve these breaches as quickly and effectively as possible to limit or reduce the ramifications. It is vitally important for law firms to keep tight security measures in place, which should include:

• utilising multi-factor authentication,

• maintaining segregated backup systems for any critical data, and

• deploying regular employee phishing training.

Various other cyber hygiene protocols can help to minimise the risk and consequences of a breach.

Despite increased security measures reducing these risks, in this dynamic tech world new ways of hacking are evolving each day, meaning the risk of a breach will always be present. For many law firms, standalone cyber insurance cover may no longer be considered a discretionary spend.

For small and medium-sized enterprises especially, access to response teams may be limited and time-consuming, meaning they may be more heavily affected from losses relating to downtime. These costs could potentially outweigh that of a ransom, with cybersecurity and data backup company Datto suggesting that it can be up to 50 times more.

If the company does not have secure or separate back-ups in place, without an encryption key lost data may become complicated to recover or, in a worst-case scenario, impossible.

Consequences can be catastrophic in other fundamental ways. Consider the hospital suffering a ransomware attack, battling with network outages which are impacting on the operation of life-saving medical devices…or the effect of an outage on critical infrastructure such as power or water suppliers.

A market-leading cyber policy contemplates cover for the costs of a cyber-security incident response team as well as ransomware specialists, who can negotiate with bad actors and run forensics, respectively. This may help to reduce the period of downtime, and the costs responding to the event (including the amount of the demand itself) and minimise reputational harm.

Keeping the options open

Clearly firms should not be encouraged to provide any motivation (not to mention their hard-earned money) to cybercriminals. However, ruling ransom payments out as an option, in specific circumstances, could have dramatic effects on a firm, its clients, and the wider community. Providing law firms (and their insurers) with the casting vote as to whether or not payment of a ransom demand should be made, seems eminently sensible. Law firms cannot anticipate how severe cyber-attacks may be - paying a ransom might be the only way to save a business.

Mental Health and the Hamster Wheel of the Modern Workplace

Not only does it encourage over-communication, email enables cognitive exhaustion through having to switch mental tack with each email that’s opened, each pertaining to a different subject and/ or task. Many of us are familiar with this, and sadly this is but one example of similar tools that feel like a digital hamster wheel: the faster you get through your work, the faster it replenishes.

doing repetitive tasks or stuff that’s below your pay grade. Repetitive tasks are what computers do best, find or create a solution that will do the tasks for you. It could be as simple as finding the right piece of software. The same goes for jobs that you are too qualified to be doing, there might be a cost, but your sanity will thank you.

Angle-Right

Do what you need to do, better

As well as the day job at Casedo, I’m also Secretary Trustee of The Pixel Fund, a grant-giving mental health charity granting to charities catering to those under 26. As such, I’m very aware of the rise in mental health issues in this age range (probable mental health disorders in the U20 age group are now nudging 18%*) and how these can set issues in train for life.

Angle-Right

Still Taboo in the Workplace?

Mental health issues are on the rise at all ages, and in some quarters the argument rages about whether this is simply a matter of greater reporting of mental health challenges amongst the population, or whether that has been an actual increase in the problem. I think this argument is moot - if we know there is an issue, we need to know how to deal with it, and act accordingly, whatever perceived changes to the statistics.

In work as in personal life, many mental health challenges come from being overwhelmed. If it’s not the great challenges of the day (the Climate Emergency, the cost of living crisis) then it’s keeping on top of your family responsibilities or the inundation of the modern workplace.

Angle-Right

Too Much of the Wrong Communication

Much of this can be attributed to the way we communicate. As a case in point, email was meant to be the great leveller, the instant efficiency tool that gave us more time. It has turned out to be the opposite, the lowest common denominator when it comes to good workflow. Email leads to over communication.

And the problem with email (and chat tools more generally) is that it’s often placed at the hub of what we do. Tasks are picked up through email and when we move onto the next task we have to dip into our ever expanding inbox to find that next task. Instead of communicating on the fly, choose when to communicate, things don’t always have to be done yesterday.

Angle-Right Don’t

Confuse Productivity with Efficiency

Plenty has been written about how inefficient this all is, and has in itself spawned the productivity industry, but productivity itself is the hamster wheel incarnate.

Productivity means doing more ‘stuff’ in a given unit of time, whereas efficiency, though similar, means doing that ‘stuff’ in a more streamlined way. Productivity doesn’t give you more time, you just have to do more in the same amount of time. Efficiency gives you more time.

Angle-Right Focus on Doing Less,

Better

Strategies to deal with ‘modern overwhelm’ should all point to doing less, better. What the productivity industry often fails to mention is that we have a finite capacity for doing stuff, and that doing less better means that you’ll ultimately achieve at least as much, often more.

There are many ways to do this, but the founding ambitions should be

1. Not doing what you shouldn’t be doing, and

2. Doing what you need to do, better.

Angle-Right Don’t do what you shouldn’t be doing

This might sound trite, but you shouldn’t be

You are a professional, getting paid for a professional service, don’t scrape by with tools that aren’t fit for purpose. Find tools that not only make your working life more absorbing and focused, but ones that will give you a competitive advantage, that will show you are on top of your game.

As you might have noticed, both of the above could simply mean finding the right piece of software to do the job for you. However, if the solution doesn’t exist, create a workflow that solves your issues, or create a full blown solution yourself. That’s what my co-founder at Casedo Ross Birkbeck did when he couldn’t find a tool to bring a variety documents into a single space so he could understand and annotate them as if they were a single document, though still flexible enough to reorganise through drag and drop. If you want to take a look go to casedo.com.

Jim Hitch co-founded Casedo in 2017 with Casedo creator and barrister Ross Birkbeck. He’s been the Secretary Trustee of the grant-giving mental health charity The Pixel Fund since 2016 and previous to that spent nine years on the board of Southern Housing Group. Most importantly, he spends as much time in the outdoors as possible with partner and three daughters, preferably in their now beat-up motorhome. He is banned from going on about his family at work.

* www.researchbriefings.files.parliament.uk/ documents/SN06988/SN06988.pdf

In work as in personal life, many mental health challenges come from being overwhelmed.

SRA & SPG Meetings

a line.” Ben said this is likely to be of more relevance to larger city firms than to sole practitioners.

Sanctions guidance:

Alongside the SLAPPS guidance, Ben said that the SRA has also published new guidance for complying with the UK Sanctions Regime. This may be relevant even if there are no anti-moneylaundering (AML) considerations, as there is a prohibition on taking instructions from a sanctioned person unless a licence from the Office of Financial Sanctions Implementation (OFSI) is in place. An online session on Sanctions is available from the SRA’s Compliance Conference.

There are currently about 63,000 non-practising solicitors on the Roll, and some difficulty is expected in contacting them all. If you know any former sole practitioners likely to be in this situation, whose contact details may have changed, please let us know so we can get in touch with them.

Continuing Competence Survey:

The SRA is looking for examples of how solicitors and firms are supporting continuing competence, including new ideas and best practice. The SRA would welcome your feedback, and the web address for this is form.sra.org.uk/s3/CC-Casestudies

As part of our services in supporting Sole Practitioners, members of our Executive Committee hold regular meetings with the Solicitors Regulation Authority, often in Birmingham, and sometimes in London or online.

Our quarterly meeting at the SRA’s London office in December was arranged with the help of James Thomas, the SRA’s Public Affairs Manager.

I attended on behalf of the Sole Practitioners’ Group, together with Sukhjit Ahluwalia, David Barton, Andrew Osadebe and Kemi Mosaku.

Ben Fisher, SRA’s Director of Communications, opened by providing a lively update on the SRA’s wider work since October, as well as answering questions raised by us.

Strategic lawsuits against public participation (or 'SLAPPs'):

Ben said that the war in Ukraine had been a stimulus in getting this on the public agenda, and there had been questions on it in the House of Commons and the House of Lords, as well as a campaigning letter to the Government, signed by 70 editors, journalists, publishers and lawyers, urging legislation. In essence, SLAPPS involve law firms sending threatening letters, in an abuse of the litigation process, which intimidate the recipient into, for example, not publishing a book: if the book is withheld from publication as a result, then the tactic has worked.

In November, the SRA published guidance on SLAPPS, including a warning notice to the profession and information for those who might be the target of SLAPPS, including guidance as to what would amount to “stepping across

In relation to AML, Ben noted that you cannot rely on another firm’s AML checks.

Immigration and Asylum services:

Ben reported that the SRA has been looking into what is, and is not working in this area of legal practice, and has published guidance on it: this highlights the importance of discussing up front with a client the strengths and weaknesses of their case; clearly outlining the client’s options (the pros and cons); preparing properly for online hearings; making it easier for clients to complain; and highlighting the importance of appropriate and proportionate supervision. The supervision guidance is also relevant in all other areas of law where a solicitor is supervising staff.

Regulators’ Pioneer Fund:

The SRA has received a grant of £120,000 from this Fund to enable it to work with the Law Society and the Access to Justice Foundation in exploring ways of using technology to help resolve disputes, instead of going to court. Ben said he would welcome good ideas on this, so please let us know if you have any suggestions, and we can feed them through.

SRA’s Business Plan:

The final year of the SRA’s three-year business plan has been published and can be seen on the SRA’s website. The SRA will be consulting in the Spring for the next Business Plan, which is due to start in November 2023.

Keeping of the Roll:

Ben reminded us that, from April 2023, solicitors without a practising certificate will have to apply to remain on the Roll of Solicitors. The annual fee is expected to be about £20.

Consultations:

The SRA closed its consultation on fines in November, and it will report its decisions on this after internal discussions in January.

Two further consultations are coming up, one being for a Standards and Regulations “snagging list,” to tidy up and improve rules, and the other on Claims Management Services.

CILEX:

Ben reported that discussions are taking place about the Chartered Institute of Legal Executives (CILEX) moving to a different regulator. The Legal Services Board is looking into it, and the SRA has agreed to have formal discussions with CILEX. By comparison, CILEX has an annual turnover of about £1.7m, compared with the SRA’s £80m.

Investigation and Supervision:

In reply to a question about the lengthy delays experienced by some of those facing investigations, Ben has reported that it is an issue that has been recognised at SRA Board level, and that the senior management team is also aware of it. Although we heard that progress had been made on reducing times taken to deal with complaints – particularly those cases taking longer than 12 months to resolve – Ben recognised that there was still more to do.

One case mentioned in outline had involved alleged misconduct at a work event, and Ben said that the SRA had seen a big increase in complaints along these lines, especially since the #metoo movement, with more people now willing to report instances of potential sexual misconduct or instances happening outside the workplace.

Solicitors Indemnity Fund update:

In respect of the discussions about post-six-year run-off cover, Ben reported that the consultation on the SRA’s proposed arrangements for an SRArun indemnity scheme to provide “consumer protection for post six-year negligence” was closing in early January. The SRA Board is to consider responses to the consultation at its February meeting and will then provide an update. If the scheme is to involve a further levy, there will be a further consultation.

Ben thanked the SPG for its involvement in the SIF debate and paid tribute to the contributions made by Clive Sutton and his high level of engagement.

Authorisation trends and PC renewals in 2022: Raj Uppal (SRA’s Director of Authorisation) and James Andronov (SRA’s Head of Individual Based Authorisation) provided an update on authorisation trends and on the most recent

round of practising certificate renewals.

James and Raj provided some statistics: there are about 220,000 solicitors on the Roll, of whom about 160,000 hold a practising certificate, and there are 7,000 firms. Ten years ago, by comparison, there were 160,000 on the Roll, with 110,000 of these holding a practising certificate, and 10,000 firms. James commented that there was no rise in the number of firm closures being seen.

Incidentally, it may be of interest to our readers that at the end of October 2022, the SRA reported that the total number of firms run as a traditional sole practice or as a company with a sole director was 4,075 (comprising 1,723 in sole practice, 2,341 companies with a sole director, and 11 others, such as companies limited by guarantee and unlimited companies).

As to PC renewals, we heard that feedback to the SRA is that the system has been improving, and

that there are to be further technical upgrades over the next two years, particularly for big firms.

James and Raj reported on the Solicitors Qualifying Examination (SQE). The new SQE entry route has now started, and of current entrants to the profession 400 out of 7,000 have taken the SQE route, with a strong interest in SQE being seen amongst foreign applicants (for example from Hong Kong and Rwanda). We were told that the benchmark for foreign applicants is high. Written examinations can be taken anywhere in the world, but oral exams can only be done in London, Manchester and Cardiff. Work experience must be in the UK.

Some further statistics provided were that 6,500 had taken SQE1 and SQE2, with a pass rate of 53% for SQE1 and 78% for SQE2. The pass rate has been higher for those with practical experience.

Hamish McNair SRA Liaison Lead

Top Table 2022

●

● Elisabeth Davies, Chair of Office for Legal Complaints

Members spent 20 minutes or so at each table before moving on to the next. This gave them direct access to various table chairs in small intimate group settings, to ask any burning questions they had, raise any concerns affecting their practices and to build better relationships.

started the evening, followed by a tasty 3 course meal, and of course everyone danced the night away!

A raffle and auction took place during the evening, and we raised a huge £1,225 for Seva Street, a non-profit organisation, sprung from the urgent and growing need to help and support rough sleepers in and around Stratford, East London.

Some of the raffle prizes and winners were: Magnum of Bollinger - won by Stuart Cartwright from LawShare

Thank you to all those who attended the SPG Top Table 2022 event. There were many fresh faces as well as some regular SPG event attendees. It was also great to see family members who came along allowing for some quality family time, use of the facilities and getting involved in the social side of the event.

It was a huge success and the feedback we have received from members has been very positive. So much so we have a date for your diary for the Top Table 2023 event!

Firstly, we would like to say a special thanks to those who attended from our regulatory and representative bodies. They took time out of their busy schedules to sit on a panel to provide important industry updates relevant to Sole Practitioners, and they then went on to chair a table.

● Joanna Connolly, Chair of Solicitors Sole Practitioners Group

● Anna Bradley, Chair of Solicitors Regulation Authority

We had an informative session from Dr Richard Fallon on how to build an effective marketing strategy for your business, and a PII market update following on from the October renewals season from Lockton.

The afternoon panel was all about celebrating diversity in the profession. Big thanks to those who sat on this panel and are leading the way in this ever evolving and important topic.

● Kemi Mosaku, Head of Diversity - The Solicitors Sole Practitioners Group

● Sian Hughes, Head of Diversity - Solicitors Regulation Authority

● Ranjit Sond, PresidentSociety of Asian Lawyers

● Anthony Graham, Policy Representative - Black Solicitors Network

● Stephanie Boyce, Immediate Past President - Law Society

Once the conference ended the fun began. A drinks reception kick

Fortnum & Mason Hamper - won by Ranjit Sond And the Laptop auction prize, after much toing and froing eventually went to Joanna Connolly!

Based on the feedback we received during the event, and after in the post event survey we have already secured the same venue for Saturday 25th November 2023. Get the date in your diaries and stand by for more info about what to expect and how to book.

Sukhjit

SPG Head of Marketing Sub-committee

● Lubna Shuja, President of the Law Society

Matthew Hill, Chief Exec of the Legal Board Services

Ahluwalia

Why Climate Change Matters to Law Firms

Below are a few extracts from an interesting and informative article I found on the Groundsure website. If you wish to read the full article, which contains more information, including guidance notes, videos, timelines and advice on what’s to come and how it will affect law firms of all sizes in the future, enter the following in your internet address bar: www.groundsure.com/why-climate-changematters-to-law-firms

Climate Change - is your client advice meeting the duty of care?

Larger firms have already been thinking about the impact of climate change, especially in the area of corporate advice to clients. But for licensed conveyancers and law firms of all sizes, it is clear that climate change will affect property transactions to a degree that you need to consider whether your advice is meeting existing duty of care, future guidance and standards.

Conveyancers’ Duty of Care to Advise Clients about Climate Risk

One of the UK’s leading environmental law practitioners, Stephen Tromans KC, has released his legal opinion on a firm’s duty of care to advise residential and commercial property clients on climate risk. It’s essential reading for all conveyancing practitioners and available to download free now, enter the following link into your internet address bar and scroll down to obtain the free download: www.groundsure.com/why-climate-changematters-to-law-firms

Next steps to guidance from lenders

The Bank of England/Prudential Regulatory Authority required lenders to undertake stress tests on their back books to ensure that they were not unduly exposed by climate change. The Bank now views Climate Change as a Tier 1 lending risk.

In order to maintain compliance to their regulator, lenders are now looking at how to ensure that new consumer and commercial business is screened. At our climate change conference in June 2022, Matt Jupp - principal of Mortgage Policy at UK Finance clearly stated that lenders would be reviewing their guidance to conveyancers for environmental risks in the future.

Next steps to guidance for lawyers

The Law Society is developing two strands of guidance at the moment, which are planned to be released by Spring 2023. One, being developed by the Society’s Climate Change Committee, is looking at the general ethical and ESG considerations for firms with the advice and practice across all matters related to climate change.

Guidance specific to residential and commercial conveyancing is being developed by the Environment and Planning Committee, led by Seb Charles, Founder at Aardvark Planning Law. At our Conveyancing Climate Conference, Seb outlined the main points of focus with the developing guidance.

The insurance complications of climate change for Real Estate Lawyers and clients

Insurers will be paying greater attention to firms’ exposure and will want to see clear risk and compliance measures in place on climate advice as part of their wider ESG policy from the highest levels down through the organization.

This will apply especially to conveyancing through the data, education and tools that are used to advise clients of potential risks.

Next steps to guidance for valuers

RICS has had guidance on “sustainability” in the Red Book for a number of years and provides advice to members on what they “should” comment on with respect to potential issues with the property that could be impacted on and its degree of sustainability.

They currently provide valuations on the basis of current market value, which has a precise definition and does not project forward to any impact on future value due to climate change. This position may change but law firms will be likely required by lenders to use available climate data in environmental searches to flag any risks.

Information obtained from the Groundsure.com website

Sheila Mann SPG Administrator

3 Magic Words to Get More Clients

One of my favourite times of the week is a Thursday afternoon when I run a marketing clinic for my Profitable Practice lawyer clients.

Clients send me their marketing for review, which might be a page on their website, their LinkedIn profile, an article they've written, or their 'Client Magnet' guide or report.

At a recent clinic, I shared a key tip for turning 'ordinary content' into 'magnetic content' that will attract your ideal clients.

My tip is to use the 3 Magic Words "which means that"

WHY THIS WORKS

These 3 simple words might not seem magical, but here's why they work...

To be effective, your marketing needs to educate your ideal clients about why they need you and why they should choose you specifically.

These 3 Magic Words turn information about you, or your services, into education

Let me give you two examples.

I've been helping a family lawyer with the wording on her website.

On her 'about' page she said she "Sits as a Children’s Panel Member which is accredited by The Law Society".

When I asked her to add the words "which means that" and to continue the sentence, she told me she is accredited by the Law Society as an expert in childcare proceedings and can represent a child in those proceedings (whereas lawyers not on this Panel cannot do).

99% of clients won't know this unless you specifically tell them. So without the "which means that", her original words were just

information, not education about why prospective clients should choose her.

Another client is working on his 'Client Magnet' guide to employment contracts. He wanted to offer a free initial consultation to those who'd read the guide, to help them identify what steps they needed to take to put in place better employment contracts.

But no-one wants better employment contracts unless they understand why they need them or how they will help. So I asked him to use the words "which means that" to explain the benefits for his clients of having better employment contracts.

He told me that better contracts would help reduce complaints or grievances in the workplace (which also means freeing up management time to focus on growing the business). They would also help ensure the workforce was happier and more productive (increasing retention and reducing the time and money cost of recruitment).

He had instantly turned his consultation offer into something his ideal clients could see the benefit of.

ABOUT THE AUTHOR

GETTING STARTED

Start identifying opportunities to use the words "which means that" in order to turn information into education. Use them every time you are explain what you do or how you do it.

And don't forget: these opportunities are not only in your written marketing content but also in what you say to prospective clients when discussing how you can help them.

If you’d like more help to create the right kind of ‘educational’ marketing message to attract your ideal clients, come and spend a day with me and other small firm owners at my next online workshop ‘Profitable Practice Growth Secrets For Small Law Firms’. In this small workshop you'll work with me to identify the specific marketing message and 'Client Hooks' you need to use in your marketing to attract more of your ideal clients. You'll also learn new skills to convert enquiries into clients at higher fees (without pushback). Plus, we'll analyse the true growth potential for your firm or practice, set your 12-month growth goals, and create a specific plan to get you there. See the full agenda for the workshop, read testimonials about real results other lawyers have had, and check ticket availability at: www.thebusinessinstructor.com/workshop

Michelle Peters (The Business Instructor) is a former practising solicitor and the creator of the Profitable Practice Programme for sole practitioners and small firm owners who want more clients and to increase their profits without working more hours. In addition to working privately with lawyer clients, Michelle frequently runs webinars and workshops to help lawyers identify what is slowing them down from having more of their ideal clients and higher profits, and what to do about it.

Michelle is also the author of the No.1 Best-Selling Book ‘The Client Magnet Strategy for Lawyers’ which is available on Amazon, or you can download the first four chapters FREE at www.thebusinessinstructor.com/book

Law firm cash flow: Improve your firm's financial health

For those facing cash flow problems, there are a number of things firms should consider for improving cash flow and achieving long term success.

TIPS FOR IMPROVING LAW FIRM CASH FLOW

1. Get your finances in order

Understanding your finances is essential for cash flow management. Use cash flow forecasting and figure out which types of cases are bringing in the most money and which are not. Review your outgoings and make decisions on which expenses can be cut to improve cash flow and reduce costs for your firm. Get advice as early as possible to ensure you make the best decisions for your firm.

2. Remote working

The pandemic forced us to adapt in our ways of working and has shown us that working remotely as a law firm is possible, and in some circumstances, a more viable option. Allowing your staff to work from home, either part time or full time could allow you to reduce the size of your offices and reduce your outgoings on real estate, heating, and electricity, cutting costs and improving flow of cash.

3. Exit an unprofitable market

The legal services industry has faced many challenges over the past decade. It is unsurprising that some law firms have made

the strategic decision to exit specific practice areas to allow them to focus on more profitable markets. With the help of R&R Solutions, you can ensure a smooth, compliant exit from any market, placing files with the most suitable firms from our panel of solicitors, allowing you to preserve the value of your locked-up WIP

4. Free up value locked in your WIP

If you decide to exit an unprofitable or less profitable market, you could choose to transfer your existing files to an alternative firm of solicitors. Using the R&R Solutions method will ensure you recover the maximum value locked in your work in progress, thus helping to improve cash flow when you need it most.

5. Consider a merger or acquisition

It has become clear in recent years that larger firms have more power to compete in such a competitive legal market. Due to this, the number of mergers and acquisitions in recent years has increased substantially. In some circumstances, the merging or acquiring firm may not wish to continue in a specific legal market. If this is the case, R&R Solutions can assist firms in leaving an unsuitable market and placing files with a suitable firm on our panel.

How can R&R Solutions assist?

R&R Solutions understand the importance of having positive law firm cash flow. We can work alongside your firm to help you leave a

less profitable market, improve your cash flow by releasing value from your work in progress, and assist if you choose to take the merger or acquisition route for your firm.

In the worst-case scenario, you may be required to close your firm due to cash flow issues. R&R Solutions can assist you in this situation to ensure a compliant closure of your firm.

Our process involves discreetly selling a firm’s cases to multiple purchasers on our panel of solicitors. This mitigates the risks to the buying firms and results in a higher value for the work in progress being recovered and provides you with a share of any success fee, whilst ensuring SRA compliance.

Our team manage the whole process from transfer of files to appropriately qualified panel firms suited to deal with your unique client matters through, to collection and management of costs at conclusion. Our fees are only payable as a proportion of what you recover, so there is no risk to you.

If you would like to find out more about R&R Solution’s process, feel free to get in touch with our Managing Directors on a confidential basis: David Johnstone at david.johnstone@rrsolutions.co.uk, or 07887 796 989, or Sally Dunscombe at sally.dunscombe@r-rsolutions. co.uk or 07774 205 870

As the end of the financial year approaches, many solicitors are likely to be reviewing their cash flow and considering ways to improve their financial health. Positive cash flow is essential for your firm to be successful in such a competitive market.

What next for the conveyancing market?

Unanticipated property market impediments and compliance crackdowns are here to stay, predicts

Lynne Lister, MD of X-Press Legal Services

The property market downturn has begun with repossessions likely to spike later this year. This, combined with government crackdowns on economic crimes, the ongoing NPPF consultation and newly announced changes to leasehold is making conveyancing in 2023 more complex than ever before.

“A fall in house prices was inevitable but the level of announcements and legislation impacting the property, conveyancing and legal industry currently coming out of government is extraordinary,” commented Lynne.

“Remaining compliant is not easy amid such turbulence and it is understandable why some larger law firms have now launched entire compliance departments to manage changes in legislation. As a property partner, we are evolving faster than ever before to give our clients access to the most innovative digital products available, helping them to efficiently manage their caseloads. Our aim is to keep local marketplaces buoyant, and we can only do this by ensuring independent conveyancers are fully supported, compliant and able to reduce delays in transactions wherever possible.”

With locally owned offices throughout England & Wales, X-Press Legal Services is an independent property partner specialising in data and e-conveyancing. Its latest digital product, QMP is a cloud-based Quotation Management Platform supporting conveyancers from onboarding through the entire conveyancing process.

This innovative platform enables professional networks to efficiently manage communications between property partners such as estate agents and mortgage brokers and their clients. Its bespoke technology also enables conveyancing professionals to better manage workflows all within a cyber secure, SRA compliant environment.

“Right now, there is no average day in conveyancing,” added Lynne. “Professionals are under immense pressure to complete transactions without falling foul of the SRA or AML regulations. We have tools available to alleviate some of that, ensuring our clients can continue to deliver the level of service which their reputations have been built on, however turbulent the industry may get.”

For further information or to find your local X-Press office visit www.xpresslegal.co.uk

Relationships remain key in the age of technology

Personal relationships are still the heartbeat of business success, despite the increasing use of technology. Personal relationships convey how we value one another. Personal relationships enable us to have empathy with one another’s situations.

In his seminal book, “How to win friends and influence people,” Dale Carnegie wrote

If there is any one secret of success, it lies in the ability to get the other person’s point of view and see things from that person’s angle as well as from your own. Business relationships then are as much about understanding the challenges we all face in our daily encounters.

The search industry has seen significant changes in recent years. Massive consolidation has seen so many of the traditional search companies swallowed up into larger corporates. We have to find ways of differentiating our service offerings, building that trust in client relationships, and delivering services which conveyancers feel add value to their business.

Don’t get me wrong, consolidation has brought with it huge advances in technology and customer experience. Gone are the days of endlessly calling suppliers to order reports, collating them manually, printing off reams of paper and hand delivering the search to the office…. and good riddance too! With the exception of local authority searches, most of the reports are now available same day, with many returned in minutes.

The delivery platforms are slicker, smarter, more intuitive and spot potential risks that might need to be accounted for, and errors in search requests. But some of this technological advancement has come at the expense of good, old-fashioned customer service. The personal touch.

Do we rely on technology too much? Are chat bots, apps and portals what our clients really want and need? What happens when things go wrong? People need reassurance, they need to be able to pick up the phone, or send an email, and feel as though somebody is taking a personal interest in resolving their issue rather than “chat” to a faceless bot or send messages via portals.

I recently won back a client from a rival supplier. When I asked what it was that brought them back to us they said that they felt as though they were a number, rather than a client. It was the personal touch that was missing from their communications; they didn’t feel as though they ever spoke to the same person twice. There wasn’t a familiar voice at the end of phone when things went wrong (as things inevitably do in conveyancing!).

In our experience 90% of orders go through with little to no intervention required. But that 10% is where relationships are made and broken. This is where knowledge, experience, and expertise really make a difference. Recognising that the conveyancer is almost certainly under pressure, whether it be from the client, agent or the other side, and being able to take that weight off and deal with the issue through to completion is a critical part of the business relationship. Whether it’s a query on a report back which requires clarification, or chasing up an expedited service. It's about trusting that the job is going to get done right, first time.

The challenge when introducing technology is that you take a step back from that personal touch. You risk losing the experience and expertise provided by the people when you are over-reliant on the technology. At Geodesys we have people who have been with us since the start, 25 years (and counting!), no amount of technology will replace their understanding and expertise. They are an integral part of our account management and customer service offering. They know the search industry inside out. The key is getting the right combination of technology and people.

Going back to Dale Carnegie’s quote; the organisations who can empathise with the clients, and understand how to respond, will be the best at winning friends and influencing others.

Kay Toon is an Account Manager at Geodesys

An Introduction to Finders International

Finders International is a professional probate genealogy company, established in 1997 by Managing Director Danny Curran and is now one of the world’s largest firms in our field. We are best known for tracing missing heirs and identifying lawful and entitled next of kin, having worked extensively with lawyers, probate practitioners, banks, deputyship teams, trust companies and state trustees.

Finders have offices in London, Edinburgh, Dublin and Sydney and over 150 personnel, enabling us to complete searches quickly across multiple jurisdictions. When complex estates need to be dealt with, we have a proven track record of tracing beneficiaries globally.

We support the legal profession and know our research forms part of a serious legal process that reflects on your firm. Therefore, we will work efficiently and in the best interests of your company, the personal representatives, and beneficiaries at all times.

WE DO MORE THAN TRACE HEIRS

We are aware of the need to support the services of sole practitioners when dealing with Estate administration matters. In addition to tracing missing heirs or Executors, we can assist with a range of legal support services; searching for missing Estate assets, obtaining missing documents, carrying out overseas bankruptcy searches, and conducting thorough insurance-backed Missing Will Searches, as well as a range of probate property solutions, and offering insurances to enable safe distribution of funds.

ESTATES WITH AN INTERNATIONAL ELEMENT

We are here to provide consultative and practical support to practitioners and estate administrators with the liquidation, disposal and return of a variety of assets located overseas.

We have a range of International Asset Services to assist with complex multijurisdictional estate matters, offering Medallion Signature Guarantees, the sale and transfer of overseas stock, closure of overseas bank accounts and obtaining overseas Grants of Probate. These specialist services are designed to assist sole practitioners with

overseas estate elements they may not encounter on a regular basis.

UK Estates are much more likely to contain at least one overseas asset these days. From a bank account opened in Australia for work, to a holiday home purchased while on holiday in Spain, to tax planning investment accounts opened in the USA and offshore in places like the Isle of Man and Jersey, to accounts in Ireland or beyond, to shares that, due to corporate action, have ended up listed in all sorts of places worldwide – it’s quite possible that an estate may feature one or more of these scenarios. What unites them is that they’re often surprisingly time-consuming and challenging to deal with – whether that involves closing an account, liquidating a portfolio or selling an individual shareholding. Numerous legal and bureaucratic obstacles spring up which must be navigated before the value can be restored to the estate in the UK. The sheer variety of scenarios is something that an estate practitioner may not have encountered often, or at all. Another scenario is that you may be pressed for time and anxious to progress multiple aspects of the estate administration at once. That is where Finders’ International Asset Service comes in.

We apply a practical, problem-solving approach to a range of asset services, helping to sell, transfer or recover a range of overseas assets including shares, bank accounts, and investment portfolios, assisting estates with the necessary administrative and legal paperwork. With a combination of specialist knowledge, contacts, and experience, Finders will get the job done.

OUR CREDENTIALS - A TRIED AND TRUSTED

FIRM

Reputation is critical in the probate world, and

we will safeguard yours as closely as our own.

We are founder members of the International Association of Professional Probate Researchers www.iappr.org, which provides regulation, a Code of Conduct and a complaints procedure for a network of elite international companies. The IAPPR is one of many respected and recognised organisations we have chosen to belong to, or qualified as members of, to complete an impressive list of accreditations. In an unregulated industry, Finders International is a name to trust.

For 4 years running, we have been awarded ‘Best UK Probate Research Firm’ at the UK Probate Research Awards and won the same award at the 2020 British Wills and Probate Awards.

Our Managing Director, Danny Curran, is known as the industry spokesman with over 100 media contributions. From Forbes Magazine, The Times, and all the UK nationals, to appearances on ITV’s This Morning and numerous Radio interviews, positively promoting the probate research profession.

We also complete hundreds of pro-bono cases every year, helping with stories of reunions of family separated by war or forced adoption and reuniting people with family heirlooms such as their ancestors lost war medals or long-lost books.

For free advice or a no obligation quote, contact us today: