Key Insights from the Law Society’s New Guidance on the Mazur Case
Following on from the update from CILEx, the Law Society have now issued new guidance for the profession. The full release can be seen here – https://www.lawsociety.org.uk/contact-or-visit-us/press-office/press-releases/mazur-law-society-publishes-new-guidance-for-profession.
In keeping with the advice from CILEx, the Law Society have echoed that the Mazur only applies to litigation and that a non-authorised person cannot conduct reserved legal activity tasks, even under the supervision of an authorised person.
They have repeated that a non-authorised person can provide support to an authorised person, which they describe as “extensive”.
In our previous articles on this topic (links to previous articles are provided below*), we have set out a suggestion for what is considered to be support and conduct.
We have further updated these recently to set out the Legal Services Act 2007, Schedule 3 Exemptions and when they apply to the differing types of reserved legal services.
An updated table of ‘Conduct versus Support’ is below.
It will be noted that the Law Society is also of the view that there are grey areas and awaits guidance from the regulators, as do we all.
At the time of publishing this article, the Solicitors Regulation Authority (SRA) has not issued any further updates or guidance. The guidance note does, however, highlight the SRA requirements on Supervision and that acting in breach may result in regulatory action.
Whilst there is nothing new in the Law Society guidance and practice note https://www.lawsociety.org.uk/topics/regulation/mazur-and-the-conduct-of-litigation, it is welcome news that the Law Society does not extend the Mazur ruling to other reserved legal services such as probate and property.
We hope the updated table is considered helpful for those firms adjusting their working practices to ensure they do not breach the requirements of the LSA 2007.
It still remains our view that until the SRA provides guidance, firms should not be rushing to self-report to the SRA. This view may change as we move forward.
On a more practical level, some of the actions we have been seeing are:
- Clients raising complaints and refusing to pay costs incurred in apparent breach of the LSA 2007. It seems AI is assisting clients in generating such complaints.
- Costs arguments have started to appear in cases where ‘conduct’ tasks have been performed by a non-authorised person in litigation.
- Judges questioning a person’s right of audience and ability to stand before the court,
- Reports by opponents’ solicitors of a firm acting in breach on the basis that they have a duty to report breaches.
As we all continue to find out way through the current challenges, RACO are here to support and guide firms as best we can. For those firms on our compliance service, a further update to the Supervision Policy will be issued to align policies to the exemptions under Schedule 3 of the LSA 2007.
Appendix 3: Conduct v Support Table
Litigation (General)
| Conduct | Support |
|---|---|
|
1. Issuing Court Proceedings 2. Serving a claim form 3. Filing applications 4. Filing the particulars of claim 5. Filing Acknowledgement of Service 6. Filing a Defence, with or without a counterclaim 7. Filing and serving expert evidence 8. Issuing a Notice of Appeal 9. Signing Court Documents 10. Signing Disclosure and Filing of witness statement and other evidence 11. Signing the Certificate of Service 12. Filing a Statement of Costs 13. Undertaking Advocacy |
1. Engaging Clients for instructions 2. Performing Due Diligence 3. Corresponding with the Client and other parties 4. Advising on the merits of a prospective claim 5. Taking a statement from a prospective witness, for the approval of the authorised person 6. Sending Letters before Action 7. Drafting particulars of claim for the approval of the authorised person 8. Drafting Applications for the approval of the authorised person 9. Drafting a Defence, with or without a counterclaim for the approval of the authorised person 10. Drafting Documents for the approval of the authorised person 11. Drafting Notices for the approval of the authorised person 12. Drafting a Statement of Costs for the approval of the authorised person 13. Preparing for disclosure 14. Preparing Bundles 15. Instruction of Counsel 16. Lodging documents that have been signed by an authorised person 17. Arranging for a process server to effect personal service 18. Liaising with parties regarding the content of court orders 19. Fixing dates for hearings etc. 20. Signing a statement of truth – (Civil Procedure Rules Part 2.3) 21. Instructing an expert witness 22. Payments 23. Legal research 24. Assisting with the preparation for trial 25. Assisting with the preparation for appeals 26. Research for the preparation of documents 27. General administrative duties associated with the matter e.g. photocopying, delivering documents to the court, typing or printing documents, sitting behind a barrister in court to provide administrative assistance, arranging appropriate diary entries for time limits |
Litigation (Family)
| Conduct | Support |
|---|---|
|
1. Issuing Court Proceedings 2. Serving Proceedings 3. Filing Applications, Notices, Draft Orders, Form Es, and other court documents 4. Filing the Court Bundle 5. Filing Acknowledgement of Service 6. Approving Letters of Instruction for experts 7. Filing and serving expert evidence 8. Determining questions for cross examination of expert and other witnesses 9. Signing Court Documents 10. Signing Disclosure and Filing of witness statements, assessments, and other evidence 11. Serving Final Statements and accompanying evidence 12. Signing the Certificate of Service 13. Filing a Statement of Costs 14. Undertaking Advocacy 15. Issuing a Notice of Appeal |
1. Engaging Clients for instructions 2. Performing Due Diligence 3. Corresponding with the Client and other parties 4. Advising on the merits of a prospective case 5. Arranging for the Client to attend a MIAM 6. Taking a statement from a prospective witness, for the approval of the authorised person 7. Sending Letters before issuing of proceedings 8. Drafting court applications, orders, statements, notices and other court documents for the approval of the authorised person 9. Drafting a Financial Statement and collating related evidence for the approval of the authorised person 10. Drafting a Statement of Costs for the approval of the authorised person 11. Preparing Bundles 12. Instruction of Counsel 13. Dealing with the practical arrangements for the instruction of experts, liaising with the clients and other third parties 14. Lodging documents that have been signed by an authorised person 15. Arranging for a process server to effect personal service 16. Liaising with parties regarding the content of court orders 17. Fixing dates for hearings etc. 18. Signing a statement of truth – (Civil Procedure Rules Part 2.3) 19. Payments 20. Legal research 21. Assisting with the preparation for case management, issues resolution and final hearings 22. Assisting with the preparation for appeals 23. Research for the preparation of documents 24. General administrative duties associated with the matter e.g. photocopying, delivering documents to the court, typing or printing documents, sitting behind a barrister in court to provide administrative assistance, arranging appropriate diary entries for time limits |
Conveyancing
| Conduct | Support |
|---|---|
|
1. Arranging execution of and submitting an application for registration of, a transfer deed 2. Preparing a deed of charge for a mortgage 3. Making an application or lodging a document for registration with the Land Registry 4. Preparing other instruments relating to real or personal estate 5. Filing answers to Requisitions |
1. Engaging Clients for instructions 2. Due Diligence 3. Corresponding with the client and other parties 4. Arranging property searches 5. Coordinating with estate agents, lenders, and other parties 6. General administrative duties 7. Preparing for exchange 8. Preparing for completion 9. Preparing a transfer deed for the approval of the authorised person 10. Payments |
Rights of Audience
| Conduct | Support |
|---|---|
|
1. Filing skeleton arguments 2. Appearing in court to address the court on behalf of a client Note the LSA exemption for chambers hearings – see section 21.2 of the main policy. 3. Cross examining witnesses both expert and lay 4. Entering pleas on behalf of a client |
1. Engaging Clients for instructions 2. Corresponding with the Client and other parties 3. Note taking and other administrative tasks 4. Assisting with skeleton arguments |
Probate Services
| Conduct | Support |
|---|---|
|
1. Finalising and filing: • The probate application forms • The statement of truth • Letters of administration • Original Will, if available • Death Certificate • IHT Forms |
1. Engaging Clients for instructions 2. Performing Due Diligence 3. Corresponding with the client and other parties 4. Collecting details of the deceased’s assets, liabilities, and beneficiaries 5. Calculating the total value of the deceased’s estate 6. Completing the relevant Inheritance Tax forms 7. Closing bank accounts 8. Selling property 9. Paying off debts 10. Drafting an estate account 11. Distributing assets to beneficiaries 12. Paying fees 13. Assisting with the filing of signed documents |
Notary Services
| Conduct | Support |
|---|---|
|
1. The entire scope of a notary’s professional practice is considered a “notarial activity,” and under the Legal Services Act 2007 (LSA), “notarial activities” are therefore a reserved legal activity, for example: • Authenticating documents • Verifying identities and signatures • Witnessing documents as a notary • Attesting to the validity of documents with a seal |
1. Engaging Clients for instructions 2. Performing Due Diligence 3. Providing general administrative support to the notary 4. Corresponding with the client and any other parties |
Administration of Oaths
| Conduct | Support |
|---|---|
| 1. The administration of oaths involves a person making a solemn declaration to tell the truth and signing a document or affidavit before an authorised individual. |
1. Engaging Clients for instructions 2. Performing Due Diligence 3. Providing general administrative support to a commissioner for oaths 4. Corresponding with the client and any other parties |
Note: Please note the exemptions under Schedule 3 (3) and 3 (4) of the LSA 2007.
**Please note the exemptions under Schedule 3 (3) and 3 (4) of the LSA 2007.
* Read our previous articles on Mazur here:
Mazur Update – CILEx members can conduct Property and Probate services
Mazur & Stuart v. Charles Russell Speechleys LLP – Should Firms Make a Self-Report?
Mazur & Stuart v. Charles Russell Speechleys LLP – The Reality and Guidance
Mazur & Stuart v. Charles Russell Speechleys LLP – FOLLOW UP: Conduct v Support
Next Steps – How We Will Help
Our team at the Regulation and Compliance Office (‘RACO’) will continue to consider and research this issue. If the SRA issues guidance or our view changes, we will provide firms with more practical guidance to protect themselves and their staff.
For those firms that utilise our services for regulation and compliance, we will engage directly with your team. For those who are not, you can contact us, and we will assist where possible. Alternatively, you can watch for updates as we issue them.
The seriousness of the issues raised by this case and the overall impact on staff and firms is significant, and any support we can offer is, we hope, welcome.
Get in touch
To ask any questions about the Regulation and Compliance Office and how we can support your Law Firm, please call us on 0203 985 8550, complete the online enquiry form, or email us info@regulationandcomplianceoffice.co.uk
